DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

CINDY L HAWKS

Advisor at MORGAN STANLEY

San Francisco, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1cec82a4-a47d-1332-01dd-2d1a78d6b7d8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: May 1, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 17, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 17, 1998
First registration: May 1, 2003
Dual registered: yes, broker-dealer
Other names: Cindy Lee Hawks|CINDY KIMPEL|CINDY LEE KIMPEL|CINDY LEE KIMPEL|Cindy Lee Hawks|CINDY HAWKS
IAPD individual key: 3036721

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Oct 20, 2022	n/a	yes	San Francisco, CA\|San Francisco, CA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 2, 2017	Oct 10, 2022	no	SAN FRANCISCO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 3, 2014	Jan 27, 2017	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 6, 2014	no	SAN FRANCISCO, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 30, 2008	Jun 1, 2009	no	SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Sep 26, 2008	no	OAKLAND, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 15, 2006	Apr 2, 2007	no	OAKLAND, CA	Previous registration
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	May 1, 2003	May 18, 2005	no	NAPA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Oct 10, 2022	Oct 20, 2022	10	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Jan 27, 2017	Feb 2, 2017	6	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 6, 2014	Oct 3, 2014	-3	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY & CO. LLC	CITIGROUP GLOBAL MARKETS INC.	Sep 26, 2008	Sep 30, 2008	4	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
ESSEX NATIONAL SECURITIES, INC.	MORGAN STANLEY DW INC.	May 18, 2005	Aug 15, 2006	454	Firm change after gap	Other

Relationships

Registered with (7)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 6, 2014factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 2, 2017 to Oct 10, 2022factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 3, 2014 to Jan 27, 2017factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 30, 2008 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Sep 26, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 15, 2006 to Apr 2, 2007factForm ADV
→ ESSEX NATIONAL SECURITIES, INC.Registered adviserregistration: previous registration
May 1, 2003 to May 18, 2005factForm ADV

Dated events

Occurred
Oct 10, 2022
Advisor changed firm
Cindy L Hawks left Ubs Financial Services Inc. for Morgan Stanley (registered 2022-10-20)
Form ADVobserved 5 days ago