Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CYNTHIA WALLACE DUNCAN
CINDY WALLACE, CYNTHIA DIANE WALLACE, CYNTHIA WALLACE
CRD#: 2289370
IA
Investment Adviser
SUMMITRY, LLCCRD#: 128586 919 HILLSDALE BLVD.
SUITE 150
FOSTER CITY, CA 94404
Registration History
199820002002200420062008201020122014201620182020202220242026IASUMMITRY, LLC (CRD# 128586)2015 - Present (9 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)1997 - 2004 (7 years)
License(s)

State Registrations

IA
California 3/24/2016
Current Registration(s)
IA
SUMMITRY, LLC (CRD#:128586)
919 HILLSDALE BLVD. SUITE 150, FOSTER CITY, CA 94404
Registered with this firm since 12/3/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/08/1997 - 10/19/2004 CHARLES SCHWAB & CO., INC. (CRD#:5393) LOS GATOS, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.