Cindy L Hawks

CRD 3036721 · Morgan Stanley · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: Cindy Hawks; Cindy Lee Hawks; Cindy Lee Kimpel; Cindy Kimpel

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 65Series 63Series 10Series 9Series 24SIESeries 31Series 7Series 6
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 28
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (18)

From the source registration record · current first

Morgan StanleyCurrent
San Francisco, CA · IA capacity

Oct 20, 2022 → present
Ubs Financial Services Inc.
IA capacity

Feb 2, 2017 → Oct 10, 2022
Ubs Financial Services Inc.
BD capacity

Feb 1, 2017 → Oct 10, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 3, 2014 → Jan 27, 2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Oct 3, 2014 → Jan 27, 2017
Morgan Stanley
BD capacity

Jun 1, 2009 → Oct 6, 2014
Morgan Stanley
IA capacity

Jun 1, 2009 → Oct 6, 2014
Citigroup Global Markets Inc.
IA capacity

Sep 30, 2008 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Sep 26, 2008 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Sep 26, 2008
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Sep 26, 2008
Morgan Stanley Dw Inc.
BD capacity

Aug 15, 2006 → Apr 2, 2007
Morgan Stanley
IA capacity

Aug 15, 2006 → Apr 2, 2007
Atlas Securities, Inc.
BD capacity

May 19, 2005 → Jul 17, 2006
Essex National Securities, Inc.
BD capacity

May 1, 2003 → May 18, 2005
Essex National Securities, Inc.
IA capacity

May 1, 2003 → May 18, 2005
1717 Capital Management Company
BD capacity

Jul 19, 1999 → Mar 19, 2002
Signator Investors, Inc.
BD capacity

Apr 21, 1998 → Jul 16, 1999

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 3036721 ↗ FINRA BrokerCheck record for CRD 3036721 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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