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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2009-01-27
  • TN RA
    APPROVED
    Since 2009-01-27

Branch Locations

608 Mabry Hood Road Suite 200, Knoxville, TN 37932 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Knoxville TN 01/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-01-26
    Morgan Stanley & Co. Llc
    Knoxville, TN
  • 2004-02-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    Knoxville, TN
    Knoxville, TN
Other Businesses

CedarBrook Outreach / 8833 Middlebrook Pike TN,Knoxville United States 37923 / Charity/ Charity / Ministers to at-risk families striving to break the generational cycles of economic, spiritual, and social issues that perpetuates their circumstances. / Officer / / oversight and development of ministries / Start Date 10/24/18 / The Glen at Hardin Valley HOA / PO Box 31315 TN,Knoxville 37930 / Charity/ Other Home Owners Association / Home Owners Association / Officer / / Balance the books - pay the bills (lights, water, mowing) - deposit the dues / Start Date 1/14/2019 /

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-12-29
  • S63 Uniform Securities Agent State Law Examination
    1997-12-29
Other Names
  • Cindy R Clowers

View on SEC IAPD

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