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Cynthia Swinney O'NEal

Ubs Financial Services Inc.

Houston, TX

Jersey Village, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-09-17
  • TX RA
    APPROVED
    Since 2021-09-17

Branch Locations

750 Town And Country Blvd Suite 400, Houston, TX 77024 • United States

Jersey Village, TX • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 06/2000 Present
Ubs Financial Services, Inc. Houston TX 09/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-07
S63 Uniform Securities Agent State Law Examination 1998-09-08
  • S65 Uniform Investment Adviser Law Examination
    1999-06-07
  • S63 Uniform Securities Agent State Law Examination
    1998-09-08
Other Names
  • Cynthia Swinney Oneal
  • Cyndi O'NEal

View on SEC IAPD

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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

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