Cyndie Barone

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-05-17

CA RA
APPROVED

Since 2024-05-17

Branch Locations

Cathedral City, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Self-Employed	Waltham	MA	01/2002	Present
Lincoln Financial Securities Corporation	Cathedral City	CA	07/2008	05/2024
Lpl Financial	Palm Springs	CA	05/2024	Present

01/2002 → Present

Self-Employed

Waltham, MA
07/2008 → 05/2024

Lincoln Financial Securities Corporation

Cathedral City, CA
05/2024 → Present

Lpl Financial

Palm Springs, CA

Previous Registrations

2005-06-30 → 2024-05-16

Osaic Fs, Inc.

Cathedral City, CA

Other Businesses

1) 04/09/2024-CYNDIE BARONE-Non-Variable Insurance-Term, Whole Life, LTC Dawn Chambers Agency-Inv Related-At Springs, CA-Start date, 09/01/2001-1hrs/mth 2)04/09/2024-Cyndie Barone CFP & Associates-Preparing & E-filing tax returns-Inv Related-At Springs, CA-Start date, 09/01/2012-40hrs/mth

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-10-30

S63 Uniform Securities Agent State Law Examination

2001-10-30

Designations

Certified Financial Planner

View on SEC IAPD