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Cindy Lou Rogers

Ubs Financial Services Inc.

Dallas, TX

Ft. Worth, TX

Fort Worth, 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 2024-07-10
  • TX RA
    APPROVED
    Since 2024-07-10

Branch Locations

100 Crescent Court Suite 600, Dallas, TX 75201 • United States

301 Commerce Ste 2800, Ft. Worth, TX 76102 • United States

301 Commerce Street, Fort Worth, TX 76102 • 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 Fort Worth TX 08/2007 09/2016
Wells Fargo Advisors Llc Southlake TX 09/2016 11/2016
Wells Fargo Clearing Services, Llc Southlake TX 11/2016 07/2024
Ubs Financial Services Inc Fort Worth TX 07/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-05-21
S63 Uniform Securities Agent State Law Examination 2012-11-24
  • S65 Uniform Investment Adviser Law Examination
    2013-05-21
  • S63 Uniform Securities Agent State Law Examination
    2012-11-24
Other Names
  • Cindy Lou Rogers
  • Cindy Lou Blaisure
  • Cindy Lou Grove
  • Cindy Lou Ramirez
  • Cindy Lou Rogers
  • Cindy Grove Rogers
  • Cindy Lou Rogers
  • Cindy Rogers

View on SEC IAPD

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