William R. Winters
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.
William Randolph Winters, who also goes by Bill Randolph Winters, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 1995 - March 5, 1997
ALLAPREE SECURITIES, INC.
April 10, 1995 - August 16, 1995
INVESTORS ASSOCIATES, INC.
October 5, 1993 - March 31, 1995
AEGON USA SECURITIES INC.
December 20, 1991 - August 5, 1992
FIRST ASSET MANAGEMENT, INC.
December 15, 1989 - January 31, 1990
RAYMOND JAMES & ASSOCIATES, INC.
October 9, 1987 - October 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 1987 - October 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 1987 - May 6, 1987
RLR SECURITIES GROUP, INC.
February 24, 1987 - April 1, 1987
UNDERWOOD, NEUHAUS & CO., INCORPORATED
February 20, 1982 - December 26, 1984
RLR SECURITIES GROUP, INC.
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
Current Firm
ALLAPREE SECURITIES, INC.
CRD#: 30929 / SEC#: , 8-45234
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLAPREE CORPORATION | CORPORATE OWNER | |
| DUPREE, JEFFREY MICHAEL | PRESIDENT/CEO/CFO | 1261142 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
