Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Shi-way Shi is a financial advisor based in Cupertino, CA. Cindy has over 15 years of experience in the financial services industry. Cindy is currently registered with Cambridge Investment Research Advisors, Inc. and has previously been registered with Ameriprise Financial Services, Inc., Next Financial Group, Inc. and H.D. Vest Investment Services. Cindy holds a Series 6, 7, 63 and 65 license and the SIE exam. Cindy specializes in providing financial planning, portfolio management, and investment advisory services to individuals, families, and businesses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
CA
07/31/2012 - Present
Cambridge Investment Research Advisors, Inc. (CUPERTINO CA)
CA
02/24/2010 - 07/05/2012
AMERIPRISE FINANCIAL SERVICES, INC. (REDWOOD CITY CA)
CA
10/08/2008 - 02/25/2010
NEXT FINANCIAL GROUP, INC. (CUPERTINO CA)
CA
11/16/2005 - 11/06/2008
H.D. VEST INVESTMENT SERVICES (CUPERTINO CA)
IA
Issued 01/30/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2009
Series 7 - General Securities Representative Examination
BC
Issued 11/14/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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