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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

CYNTHIA ANNE LOWENSTEIN

Advisor at WELLS FARGO ADVISORS

EDMONDS, WA | SEATTLE, WA

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Search this name across graphsid dfx:ria:1300d385-b19f-1be4-5842-0ca34c4608e9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: May 10, 1999 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 14, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 14, 1997
First registration: May 10, 1999
Dual registered: yes, broker-dealer
Other names: CINDY LOWENSTEIN|CYNTHIA A LOWENSTEIN|CYNTHIA ANNE LOWENSTEIN|CYNTHIA LOWENSTEIN
IAPD individual key: 2833716

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2022	n/a	yes	SEATTLE, WA\|EDMONDS, WA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Sep 21, 2021	Jun 5, 2022	no	ARLINGTON, WA	Previous registration
THE RETIREMENT SOLUTION LLC	Independent wealth	Jan 27, 2021	Aug 10, 2021	no	REDMOND, WA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 26, 2020	no	Santa Monica, CA\|Beverly Hills, CA\|Kirkland, WA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jul 11, 2008	Jun 1, 2009	no	SANTA MONICA, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 4, 2008	Jul 15, 2008	no	BEVERLY HILLS, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Feb 7, 2008	no	BEVERLY HILLS, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	May 22, 2006	Apr 2, 2007	no	BEVERLY HILLS, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	May 1, 2006	no	LOS ANGELES, CA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	May 10, 1999	Jul 1, 2003	no	LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	WELLS FARGO ADVISORS	Jun 5, 2022	Jul 1, 2022	26	Firm change	Wirehouse to wirehouse
THE RETIREMENT SOLUTION LLC	J.P. MORGAN SECURITIES LLC	Aug 10, 2021	Sep 21, 2021	42	Firm change	RIA to wirehouse
MORGAN STANLEY	THE RETIREMENT SOLUTION LLC	Jun 26, 2020	Jan 27, 2021	215	Firm change	Wirehouse to RIA
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY & CO. LLC	Jul 15, 2008	Jul 11, 2008	-4	Firm change	Other
MORGAN STANLEY & CO. LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 7, 2008	Feb 4, 2008	-3	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
WELLS FARGO ADVISORS	MORGAN STANLEY DW INC.	May 1, 2006	May 22, 2006	21	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (8)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to May 1, 2006factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Sep 21, 2021 to Jun 5, 2022factForm ADV
→ THE RETIREMENT SOLUTION LLCRegistered adviserregistration: previous registration
Jan 27, 2021 to Aug 10, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 26, 2020factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jul 11, 2008 to Jun 1, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 4, 2008 to Jul 15, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 22, 2006 to Apr 2, 2007factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
May 10, 1999 to Jul 1, 2003factForm ADV

Dated events

Occurred
Jun 5, 2022
Advisor changed firm
Cynthia Anne Lowenstein left J.P. Morgan Securities Llc for Wells Fargo Advisors (registered 2022-07-01)
Form ADVobserved 6 days ago