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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Cinthya J Lock

Advisor at UBS FINANCIAL SERVICES INC.

CORAL GABLES, FL | Miami , FL

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Search this name across graphsid dfx:ria:2569a95c-e0d5-fade-654c-802d200038b9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: May 14, 2013 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: UBS FINANCIAL SERVICES INC.
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: May 9, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 9, 2013
First registration: May 14, 2013
Dual registered: yes, broker-dealer
Other names: CINTHYA LOCK|Cinthya Janet Lock|Cinthya J Lock
IAPD individual key: 5613423

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
UBS FINANCIAL SERVICES INC.	Wirehouse	May 14, 2026	n/a	yes	CORAL GABLES, FL\|Miami , FL	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Feb 18, 2022	Apr 20, 2026	no	Miami, FL\|Miami, FL	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Dec 4, 2017	Jan 21, 2022	no	MIAMI, FL	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	May 11, 2015	Jun 14, 2016	no	MIAMI, FL	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	May 14, 2013	Apr 21, 2015	no	KEY BISCAYNE, FL\|CORAL GABLES, FL	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
J.P. MORGAN SECURITIES LLC	UBS FINANCIAL SERVICES INC.	Apr 20, 2026	May 14, 2026	24	Firm change	Wirehouse to wirehouse
HSBC SECURITIES (USA) INC.	J.P. MORGAN SECURITIES LLC	Jan 21, 2022	Feb 18, 2022	28	Firm change	Ibd to wirehouse
CREDIT SUISSE SECURITIES (USA) LLC	HSBC SECURITIES (USA) INC.	Jun 14, 2016	Dec 4, 2017	538	Firm change after gap	Other
SUNTRUST INVESTMENT SERVICES, INC.	CREDIT SUISSE SECURITIES (USA) LLC	Apr 21, 2015	May 11, 2015	20	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
17499:816:FL:2015-04-21	Apr 21, 2015	May 11, 2015	CORAL GABLES, FL	Firm change

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
May 14, 2026 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Feb 18, 2022 to Apr 20, 2026factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Dec 4, 2017 to Jan 21, 2022factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
May 11, 2015 to Jun 14, 2016factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 14, 2013 to Apr 21, 2015factForm ADV

Dated events

Occurred
Apr 20, 2026
Advisor changed firm
Cinthya J Lock left J.P. Morgan Securities Llc for Ubs Financial Services Inc. (registered 2026-05-14)
Form ADVobserved 5 days ago
Occurred
Jan 21, 2022
Advisor changed firm
Cinthya J Lock left Hsbc Securities (Usa) Inc. for J.P. Morgan Securities Llc (registered 2022-02-18)
Form ADVobserved 5 days ago