Annette Lynn Winters

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2022-03-29

TN RA
APPROVED

Since 2022-03-29

Branch Locations

800 South Gay Street Suite 2600, Knoxville, TN 37929 • United States

Knoxville, TN • 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

Organization	City	State	From	To
Ubs Financial Service	Knoxville	TN	10/2020	Present
Merrill Lynch	Knoxville	TN	07/2017	10/2020
Merrill Lynch	York	PA	01/2013	06/2017

10/2020 → Present

Ubs Financial Service

Knoxville, TN
07/2017 → 10/2020

Merrill Lynch

Knoxville, TN
01/2013 → 06/2017

Merrill Lynch

York, PA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-03-25

S66 Uniform Combined State Law Examination

2022-03-25

Other Names

Annette Lynn Castro

View on SEC IAPD

Other Firms

STRATEGIC ADVISERS LLC

RAYMOND JAMES & ASSOCIATES, INC.

FIFTH THIRD SECURITIES, INC.

STATE FARM INVESTMENT MANAGEMENT CORP.

TRUIST ADVISORY SERVICES, INC.

PFS INVESTMENTS INC.

SAGESPRING WEALTH PARTNERS

Other Investors

WILLIAM HANKINS

WILLIAM MICHAEL HOTZFIELD

HUNTER NICHOLSON

Other Offices

STRATEGIC ADVISERS LLC · KNOXVILLE, TN

RAYMOND JAMES & ASSOCIATES, INC. · KNOXVILLE, TN

EDWARD JONES · FARRAGUT, TN

FIFTH THIRD SECURITIES, INC. · KNOXVILLE, TN

STATE FARM INVESTMENT MANAGEMENT CORP. · Farragut, TN

TRUIST ADVISORY SERVICES, INC. · KNOXVILLE, TN

PFS INVESTMENTS INC. · KNOXVILLE, TN

EDWARD JONES · KNOXVILLE, TN

More in Knoxville, TN

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