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Alvin H. Wineman

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CRD#: 1027657
AW

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.

Alvin Harold Wineman, who also goes by Alvin Harold Jr Wineman, Alvin Harold Wineman Jr Jr, was a registered financial professional .

Alvin is a previously registered financial professional and started their career in finance in 1982. Alvin had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alvin Harold Jr Wineman | Alvin Harold Wineman Jr Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 16, 2010 - February 17, 2012

VANGUARD CAPITAL

RIA
CRD#: 22081
IRVINE, CA
Past

April 16, 2010 - February 17, 2012

VANGUARD CAPITAL

BD
CRD#: 22081
IRVINE, CA
Past

June 1, 2009 - May 10, 2010

MORGAN STANLEY

RIA
CRD#: 149777
NEWPORT BEACH, CA
Past

June 1, 2009 - May 10, 2010

MORGAN STANLEY

BD
CRD#: 149777
NEWPORT BEACH, CA
Past

August 21, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEWPORT BEACH, CA
Past

August 11, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEWPORT BEACH, CA
Past

July 15, 1994 - August 16, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 14, 1992 - August 3, 1994

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

January 31, 1986 - September 16, 1992

SUTRO & CO. INCORPORATED

BD
CRD#: 801
Past

September 25, 1985 - February 7, 1986

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

BD
CRD#: 595
Past

January 21, 1982 - September 16, 1992

SUTRO & CO. INCORPORATED

BD
CRD#: 801
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/2/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/22/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/1/1993
General Securities Principal Examination

Current Firm

VC
VANGUARD CAPITAL
VANGUARD CAPITAL

CRD#: 22081 / SEC#: 801-71971, 8-39450

BD
Terminated by SEC on 01/03/2017
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Contact information

Main Address
Del Mar, CA
Mailing Address
Phone number
Established
California since 02/24/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
SERRAS, GREGORYPRESIDENT,CEO/CFO, CORPORATE SECRETARY1189358
HANSON, CHRISTOPHER ALLENCHIEF COMPLIANCE OFFICER4267718
POLIVKA, VINCENT MARKCOMPLIANCE PRINCIPAL; SROP & CROP DESIGNATE;OPERATIONS SUPPORT1718591

Disclosures

Regulatory Event10
Arbitration3

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.

Company Information

VANGUARD CAPITAL

CRD#: 22081

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