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Robert S. Winborne

BROOKWOOD ASSOCIATES, L.L.C.
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 1060201
RW

Professional summary

Robert Spalding Winborne is a registered financial professional currently at BROOKWOOD ASSOCIATES, L.L.C. located in Atlanta, Georgia.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1982. Robert has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7, Series 14, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Robert Spalding Winborne's CRS (Customer Relationship Summary).

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

Current

May 30, 1990 - Present

BROOKWOOD ASSOCIATES, L.L.C.

Office #1: 15 Piedmont Center Suite 820, Atlanta, GA 30305Office #2: 15 Piedmont Center Suite 820, Atlanta, GA 30305
BD
CRD#: 26061
Atlanta, GA
Past

October 20, 1987 - March 20, 1989

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
Past

August 24, 1982 - February 3, 1987

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(6/5/1990)
RR
North Carolina
(8/8/1990)
RR
Texas
(12/6/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 3/13/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/30/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 28
Date: 3/17/1990
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/13/1990
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BA
BROOKWOOD ASSOCIATES, L.L.C.
BROOKWOOD ASSOCIATES, INC. | BROOKWOOD ASSOCIATES, L.L.C.

CRD#: 26061 / SEC#: , 8-42303

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
15 Piedmont Center Suite 820, Atlanta, GA 30305
Mailing Address
15 Piedmont Center Suite 820, Atlanta, GA 30305
Phone number
(404) 874-7433
Established
Georgia since 09/01/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKWOOD BROKER DEALER, INCPARTNER
SELF, JONATHAN ANDREWCO-CHIEF COMPLIANCE OFFICER4497531
WINBORNE, ROBERT SPALDINGMANAGING PARTNER/CFO/CO-CHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER1060201

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

BROOKWOOD ASSOCIATES, L.L.C.

CRD#: 26061Atlanta, GA 30305

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