Hollis K. Winn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Hollis Keith Winn, who also goes by Keith Hollis Winn, was a registered financial professional .
Hollis is a previously registered financial professional and started their career in finance in 1981. Hollis had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2011 - March 27, 2015
USAA FINANCIAL ADVISORS, INC.
February 14, 2011 - March 27, 2015
USAA FINANCIAL PLANNING SERVICES
August 20, 2005 - January 18, 2006
BOFA DISTRIBUTORS, INC.
September 17, 2004 - September 26, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 17, 2004 - September 26, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 14, 2003 - March 14, 2005
BACAP DISTRIBUTORS, LLC
November 13, 2003 - August 20, 2005
BACAP DISTRIBUTORS, LLC
January 27, 2003 - December 8, 2003
BANC OF AMERICA SECURITIES LLC
January 27, 2003 - December 8, 2003
BANC OF AMERICA SECURITIES LLC
March 18, 2002 - December 1, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 14, 2001 - December 1, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 26, 2001 - August 8, 2001
TRUIST SECURITIES, INC.
November 20, 1997 - July 30, 2001
CITIGROUP GLOBAL MARKETS INC.
October 14, 1981 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/2/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
