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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Hawks is a financial advisor with over 23 years of experience in the industry. Cindy is currently registered with Morgan Stanley and has held previous positions at UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Morgan Stanley & Co. Incorporated. Cindy holds Series 6, 7, 10, 24, 31, 63, and 65 licenses. Cindy has experience in providing financial planning, portfolio management, and asset allocation advice to individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
10/20/2022 - Present
Morgan Stanley (San Francisco CA)
CA
02/01/2017 - 10/10/2022
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
10/03/2014 - 01/27/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
06/01/2009 - 10/06/2014
MORGAN STANLEY (SAN FRANCISCO CA)
CA
09/26/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
CA
04/02/2007 - 09/26/2008
MORGAN STANLEY & CO. INCORPORATED (OAKLAND CA)
CA
08/15/2006 - 04/02/2007
MORGAN STANLEY DW INC. (OAKLAND CA)
CA
05/19/2005 - 07/17/2006
ATLAS SECURITIES, INC. (SAN LEANDRO CA)
CA
05/01/2003 - 05/18/2005
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
DE
07/19/1999 - 03/19/2002
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
MA
04/21/1998 - 07/16/1999
SIGNATOR INVESTORS, INC. (BOSTON MA)
IA
Issued 05/24/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/17/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/13/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/18/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/29/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 12/04/2001
Series 7 - General Securities Representative Examination
BC
Issued 04/20/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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