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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

RENEE MICHELLE HAWKES

Advisor at UBS FINANCIAL SERVICES INC.

Bellevue, WA

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Search this name across graphsid dfx:ria:53eb0b26-01ac-a177-6c58-c292298a32c2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 28, 2015 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: Nov 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 26, 2015
First registration: Sep 28, 2015
Dual registered: yes, broker-dealer
Other names: RENEE MICHELLE KELLN|RENEE HAWKES
IAPD individual key: 6426286

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, 2021	n/a	yes	Bellevue, WA	Current employment
Pathstone	Independent wealth	Oct 20, 2020	Apr 1, 2021	no	BELLEVUE, WA\|ENGLEWOOD, NJ	Previous registration
CORNERSTONE ADVISORS INC	Former SEC adviser	Apr 16, 2018	Sep 30, 2020	no	BELLEVUE, WA	Previous registration
COLDSTREAM WEALTH MANAGEMENT	Independent wealth	Sep 28, 2015	Apr 18, 2018	no	BELLEVUE, WA	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
Pathstone	UBS FINANCIAL SERVICES INC.	Apr 1, 2021	May 14, 2021	43	Firm change	RIA to wirehouse
CORNERSTONE ADVISORS INC	Pathstone	Sep 30, 2020	Oct 20, 2020	20	Bulk transfer	RIA to RIA
COLDSTREAM WEALTH MANAGEMENT	CORNERSTONE ADVISORS INC	Apr 18, 2018	Apr 16, 2018	-2	Firm change	RIA to RIA

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
May 14, 2021 to presentfactForm ADV
→ PATHSTONERegistered adviserregistration: previous registration
Oct 20, 2020 to Apr 1, 2021factForm ADV
→ CORNERSTONE ADVISORS INCRegistered adviserregistration: previous registration
Apr 16, 2018 to Sep 30, 2020factForm ADV
→ COLDSTREAM WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 28, 2015 to Apr 18, 2018factForm ADV

Dated events

No dated event names this entity yet.