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Cindy L Lacey

Avantax Investment Services, Inc.

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About Cindy L Lacey

Cindy Lacey is a registered representative at Avantax Investment Services, Inc. with 31 years of experience in the industry. Cindy is currently licensed in Georgia. Cindy has a strong background in the financial services industry. Cindy has held positions at several firms including LPL FINANCIAL LLC, MORGAN STANLEY SMITH BARNEY, MORGAN STANLEY & CO. INCORPORATED and DEAN WITTER REYNOLDS INC.

Firm Information

Cindy Lacey is currently registered with Avantax Investment Services, Inc.. Avantax Investment Services, Inc. is a Corporation formed in April 1983. The firm is registered with the SEC and in 53 states, providing services across the United States.

Not reported

Assets Under Management

Not reported

Total Clients

482

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Cindy Lacey’s Registration & Firm History

GA

03/26/2021 - Present

Avantax Investment Services, Inc. (Atlanta GA)

GA

04/02/2012 - 06/03/2021

LPL FINANCIAL LLC (ATLANTA GA)

GA

06/01/2009 - 04/27/2010

MORGAN STANLEY SMITH BARNEY (ATLANTA GA)

GA

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (ATLANTA GA)

GA

01/21/2000 - 04/02/2007

MORGAN STANLEY DW INC. (ATLANTA GA)

NY

02/19/1999 - 01/13/2000

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NA

01/27/1999 - 02/18/1999

CIBC OPPENHEIMER CORP.

NC

09/04/1992 - 02/03/1999

INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)

NY

08/05/1986 - 09/11/1990

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 09/11/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/31/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 05/23/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/19/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Cindy L Lacey.
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