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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

Cynthia Louise Patry

Advisor at CHARLES SCHWAB & CO., INC.

Wichita, KS

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Search this name across graphsid dfx:ria:81e33c32-6fa5-5fd7-5a5e-49e1c002457f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 9, 2017 to Sep 14, 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: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Feb 13, 2006
First registration: May 9, 2017
Dual registered: yes, broker-dealer
Other names: CINDY LOUISE BROOKS|Cynthia Patry|CYNTHIA LOUISE BROOKS|CYNTHIA LOUISE PATRY|Cynthia L Patry
IAPD individual key: 4681947

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
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 5, 2023	n/a	yes	Wichita, KS	Current employment
MORGAN STANLEY	Wirehouse	Aug 3, 2021	Sep 14, 2023	no	Wichita, KS	Previous registration
WEALTH ALLIANCE ADVISORY GROUP, LLC	Independent wealth	Jun 5, 2020	Sep 30, 2021	no	WICHITA, KS	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	Apr 28, 2020	no	WICHITA, KS	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Apr 28, 2020	no	OMAHA, NE\|WICHITA, KS	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	May 9, 2017	Feb 26, 2018	no	SAINT LOUIS, MO	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
MORGAN STANLEY	CHARLES SCHWAB & CO., INC.	Sep 14, 2023	Sep 5, 2023	-9	Firm change	Wirehouse to ibd
WEALTH ALLIANCE ADVISORY GROUP, LLC	MORGAN STANLEY	Sep 30, 2021	Aug 3, 2021	-58	Firm change after gap	RIA to wirehouse
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Apr 28, 2020	Feb 27, 2018	-791	Bulk transfer	Other
TD AMERITRADE, INC.	WEALTH ALLIANCE ADVISORY GROUP, LLC	Apr 28, 2020	Jun 5, 2020	38	Firm change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Sep 5, 2023 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 3, 2021 to Sep 14, 2023factForm ADV
→ WEALTH ALLIANCE ADVISORY GROUP, LLCRegistered adviserregistration: previous registration
Jun 5, 2020 to Sep 30, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Apr 28, 2020factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to Apr 28, 2020factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
May 9, 2017 to Feb 26, 2018factForm ADV

Dated events

Occurred
Sep 14, 2023
Advisor changed firm
Cynthia Louise Patry left Morgan Stanley for Charles Schwab & Co., Inc. (registered 2023-09-05)
Form ADVobserved 6 days ago