Raymond G. Winke
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.
Raymond Gene Winke, who also goes by Ray Winke, Raymond G Winke, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1982. Raymond had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2006 - August 4, 2017
SPC
December 23, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
December 18, 1992 - August 4, 2017
SIGMA FINANCIAL CORPORATION
January 18, 1990 - December 23, 1992
USA FINANCIAL GROUP, INC.
November 18, 1983 - January 30, 1990
MUTUAL SERVICE CORPORATION
December 10, 1982 - November 16, 1983
CADARET, GRANT & CO., INC.
October 12, 1982 - December 9, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
