Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Renee Clowers is a registered representative of UBS Financial Services Inc. in Knoxville, TN. Cindy has been working in the financial services industry since November 4, 1997. Cindy has passed the Series 7, Series 63, and SIE exams. Cindy is registered to offer investment advice in Arizona, California, District of Columbia, Florida, Georgia, Illinois, Massachusetts, New Jersey, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington, and Wisconsin. Before joining UBS Financial Services Inc. in January 2009, Cindy worked at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Cindy specializes in providing financial advice to individuals, corporations, and other businesses.
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.
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.
See schedule d - miscellaneous
1
2
TN
01/27/2009 - Present
UBS Financial Services Inc. (Knoxville TN)
TN
04/02/2007 - 01/26/2009
MORGAN STANLEY & CO. INCORPORATED (KNOXVILLE TN)
TN
11/05/1997 - 04/02/2007
MORGAN STANLEY DW INC. (KNOXVILLE TN)
BC
Issued 12/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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