Bruce E. Winter

KOVACK SECURITIES

Boca Raton, FL 33434

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CRD#: 1099535

Professional summary

Bruce Edmund Winter is a registered financial advisor currently at KOVACK SECURITIES INC. located in Boca Raton, Florida.

Bruce is registered as a RR (Registered Representative) and started their career in finance in 1983. Bruce has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Bruce Edmund Winter's CRS (Customer Relationship Summary).

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

November 1, 2004 - Present

KOVACK SECURITIES INC.

Office #1: 6100 Glades Road Suite 301, Boca Raton, FL 33434

CRD#: 44848

Boca Raton, FL

Past

November 2, 2004 - August 15, 2006

KOVACK SECURITIES INC.

RIA

CRD#: 44848

FORT LAUDERDALE, FL

Past

November 2, 2004 - May 9, 2013

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

March 31, 1989 - November 2, 2004

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

March 23, 1983 - March 31, 1989

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

NORTH PALM BEACH, FL

State Registrations and Notice Filings

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

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

California
(11/1/2004)

Colorado
(3/23/2005)

Connecticut
(11/3/2004)

District of Columbia
(10/18/2007)

Florida
(11/2/2004)

Georgia
(11/4/2004)

Hawaii
(11/29/2004)

Illinois
(11/3/2004)

Indiana
(5/23/2019)

Louisiana
(1/10/2013)

Maryland
(11/9/2004)

Massachusetts
(11/9/2004)

Missouri
(10/15/2008)

New Jersey
(11/8/2004)

New Mexico
(12/20/2010)

New York
(11/13/2004)

North Carolina
(4/20/2020)

Ohio
(11/3/2004)

Oregon
(2/24/2022)

Pennsylvania
(11/6/2014)

South Carolina
(11/4/2008)

Texas
(2/20/2014)

Virginia
(11/2/2004)

Exams

State Security Law Exam

Series 63

Date: 4/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/19/1983

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

KOVACK SECURITIES INC.

KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308

Mailing Address

6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308

Phone number

(954) 782-4771

Established

Florida since 04/22/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KOVACK FINANCIAL, LLC.	OWNER
KOVACK, BRIAN JOHN	CEO	2809477
SHICK, ISABELLE ALLISON	FINOP	5364794
WOLFE, MELINDA SUE	CHIEF COMPLIANCE OFFICER/EVP	1627593

Disclosures

Regulatory Event	5
Arbitration	5

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Bruce E. Winter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bruce Edmund Winter's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOVACK SECURITIES INC.

KOVACK ADVISORS, INC.

MUTUAL SERVICE CORPORATION

LOWRY FINANCIAL SERVICES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 4/19/1984

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 24

Date: 7/19/1983

FINRA

Nasdaq Stock Market

Current Firm

KOVACK SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KOVACK SECURITIES INC.

TRUST BUT VERIFY

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