Cinthia Domingues

UBS SECURITIES LLC

Stamford, CT 06901

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CRD#: 5216170

Professional summary

Cinthia Domingues is a registered financial professional currently at UBS SECURITIES LLC located in Stamford, Connecticut.

Cinthia is registered as a RR (Registered Representative) and started their career in finance in 2019. Cinthia has worked at 1 firm and has passed the SIE and Series 99TO exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

CRS (Client Relationship Summary) - BD

Click below to view Cinthia Domingues's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 23, 2019 - Present

UBS SECURITIES LLC

Office #1: 600 Washington Blvd- Stm, Stamford, CT 06901

CRD#: 7654

Stamford, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

SIE

Date: 8/23/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99TO

Date: 5/17/2019

Operations Professional Examination

SRO Registrations

FINRA

Current Firm

UBS SECURITIES LLC

CRD#: 7654 / SEC#: 801-67178, 8-22651

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

11 Madison Avenue, New York, NY 10010

Mailing Address

1000 Harbor Boulevard, Weehawken, NJ 07086

Phone number

(201) 352-3000

Established

Delaware since 06/29/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2 OF FORM ADV (MARCH 27, 2012) (3/27/2012)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC	MEMBER, VOTING
CASAVECHIA, RICHARD MICHAEL	MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING	4732235
DIMARCO, PATRICK M	CHIEF COMPLIANCE OFFICER	4549136
EBERT, MICHAEL J	PRESIDENT AND CHAIR OF THE BOARD	4556059
HAZELWOOD, TRICIA	MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES	4232035
LOFTUS, MICHAEL L	MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS	4176467
MATTONE, RALPH MICHAEL	PRINCIPAL FINANCIAL OFFICER	1840894
NIETO, CALLUM	PRINCIPAL OPERATIONS OFFICER	6765482
VAN TASSEL, JAMES C	MANAGING DIRECTOR, US EQUITIES RESEARCH	2558212

Disclosures

Regulatory Event	308
Civil Event	4
Arbitration	3

Red Flags

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