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Ralph E. Winn
CETERA INVESTMENT ADVISERS LLC
Mount Dora, FL
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CRD#: 1070182
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Professional summary
Ralph Eugene Winn is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mount Dora, Florida and CETERA ADVISORS LLC located in Victorville, California.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Ralph has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) PARADISE, WINERY IN FRANCE, 01/01/94, 100% OWNER, 2HR/WK. (2) WINN AND SONS, START 10/15/2011, VARIOUS PRODUCTS BOUGHT AND SOLD ON EBAY, SAME AS OFFICE ADDRESS, BUY AND SELL ITEMS, 5HR/WK. (3) NAME OF OTHER BUSINESS: WINN INSURANCE AGENCY ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE SALES ; START DATE: 09/1980 ; POSITION/TITLE/RELATIONSHIP: OWNER / BRANCH MANAGER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: FIXED INSURANCE.INSURANCE AGENCY ; (4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE: 09/1980 ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE & ANNUITIES ;
CRS (Client Relationship Summary) - RIA
Click below to view Ralph Eugene Winn'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®
NoneExperience
Current
March 20, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Mount Dora, FL
Current
May 10, 1999 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Victorville, CA
Past
February 8, 2006 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
WILDOMAR, CA
Past
June 18, 1989 - May 13, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
November 7, 1985 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
September 7, 1983 - November 12, 1985
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Past
March 21, 1983 - March 23, 1983
WESCO SECURITIES, INC.
BD
CRD#: 6471
Past
March 15, 1983 - August 22, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(9/8/2016)
RR
Arizona(8/6/2024)
RR
California(8/29/2001)
IAR
California(3/21/2024)
RR
Colorado(5/10/1999)
RR
Florida(10/2/2008)
IAR
Florida(3/20/2024)
RR
Hawaii(6/3/2014)
RR
Illinois(8/13/2013)
RR
Kentucky(6/10/2022)
RR
Louisiana(3/18/2013)
RR
Maine(6/26/2025)
RR
Minnesota(6/27/2025)
RR
Missouri(7/29/2024)
RR
Nevada(5/24/1999)
RR
New York(11/30/2000)
RR
Oregon(5/10/1999)
RR
South Carolina(5/6/2009)
RR
Tennessee(2/29/2024)
RR
Texas(1/11/2006)
IAR
Texas(3/21/2024)
RR
Utah(9/5/2024)
RR
Washington(5/10/1999)
RR
Wisconsin(3/6/2000)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
