George S. Winter
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.
George Scot Winter was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2010 - January 2, 2015
ALPS DISTRIBUTORS, INC.
April 12, 2010 - December 31, 2014
RIVERFRONT INVESTMENT GROUP, LLC
August 18, 2009 - July 26, 2010
IPI WEALTH MANAGEMENT, INC.
June 10, 2009 - July 26, 2010
INVESTMENT PLANNERS, INC.
July 27, 2004 - July 5, 2007
WELLS FARGO CLEARING SERVICES, LLC
November 9, 1994 - July 5, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 2, 1984 - November 25, 1994
UBS FINANCIAL SERVICES INC.
March 1, 1983 - September 21, 1984
RAUSCHER PIERCE REFSNES, 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
Series 8
Date: 11/11/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
