Lindsey Cruz has been President and Chief Compliance Officer of Apricity Financial since September 2024, is a control person of the firm and directly owns under 5% of it. Lindsey Cruz holds a Bachelor of Science from the University of Connecticut.
Apricity Financial, LLC is a firm with $111M under management, 78 clients and 4 advisers across 4 offices, as of its July 2026 filing.
Lindsey Cruz is President of Apricity Advisors. She leads the firm's operations, client experience, strategic initiatives, and compliance, and oversees its systems, people, and processes. She has nearly 20 years of experience in financial services, investment advisory, insurance, and operational leadership.
Lindsey Cruz’s longest registration is the current one, 2 years at Apricity Financial since 2024. Before joining Apricity Financial in 2024, Lindsey Cruz was registered through Ameriprise Financial Services, Inc.
- Apricity Financial, LLCCurrent– present · 2 yearsMystic, CT · Adviser representative · Firm CRD 330201
- Ameriprise Financial Services, Inc.– · under a yearEast Hartford, CT · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Lindsey Cruz is registered as an investment adviser representative in 3 states. The first approvals date from September 2024; the most recent is California, in March 2025.
- CaliforniaSince 14 March 2025
- ConnecticutSince 14 September 2024
- New YorkSince 11 March 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 13 September 2024 |
| Series 66 | Uniform Combined State Law Examination | 28 July 2006 |
| Series 7 | General Securities Representative Examination | 27 June 2006 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Lindsey Marie Cruz
- CRD
- 5120924
- Firm
- Apricity Financial · CRD 330201
- Role
- President and Chief Compliance Officer
- Office
- Mystic, CT
- Registration
- Investment adviser registration
- In the industry since
- February 2024
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- apricity-advisors.com
Where does Lindsey Cruz work?
Lindsey Cruz has been President and Chief Compliance Officer of Apricity Financial, LLC since September 2024, and is a control person of the firm.
Is Lindsey Cruz a financial advisor?
Yes. Lindsey Cruz has a current investment-adviser registration in California, Connecticut and New York, through Apricity Financial since September 2024.
How many years of experience does Lindsey Cruz have?
Lindsey Cruz has 2 years in the financial industry, since February 2024, across 2 adviser firms.
What exams has Lindsey Cruz passed?
Lindsey Cruz has passed 3 licensing exams: the Series 7, Series 66 and Series 65. The earliest, the Series 7, was passed in June 2006.
Where did Lindsey Cruz work before Apricity Financial?
Before Apricity Financial, Lindsey Cruz was registered through Ameriprise Financial Services, Inc., July 2006 to February 2007.
Where is Lindsey Cruz based?
Lindsey Cruz’s registered office is in Mystic, CT.
Is Lindsey Cruz registered with FINRA?
No. Lindsey Cruz has no current broker registration.
How can I verify Lindsey Cruz’s record?
Search CRD 5120924 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Lindsey Cruz’s full registration record.