Richard Winkeller
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.
Richard Winkeller was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 18 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2014 - November 12, 2015
QUASAR TRADING, LLC
July 29, 2010 - January 2, 2013
B. RILEY WEALTH MANAGEMENT
March 20, 2009 - June 4, 2010
FINACORP SECURITIES
October 22, 2007 - April 9, 2009
OPPENHEIMER & CO. INC.
September 11, 2006 - September 7, 2007
STERNE, AGEE & LEACH, INC.
August 16, 2004 - August 30, 2006
HOEFER & ARNETT, INCORPORATED
August 25, 2003 - August 20, 2004
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 10, 2002 - May 21, 2003
LEGG MASON WOOD WALKER, INCORPORATED
July 27, 1999 - January 15, 2002
SUTRO & CO. INCORPORATED
August 19, 1997 - August 30, 1999
JANNEY MONTGOMERY SCOTT LLC
April 28, 1994 - September 30, 1996
GRUNTAL & CO., L.L.C.
September 18, 1992 - April 13, 1994
MUNICIPAL PARTNERS INC.
September 27, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
September 27, 1990 - July 21, 1992
MONY SECURITIES CORPORATION
October 24, 1989 - July 20, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 1989 - May 5, 1989
R. SEELAUS & CO., LLC
August 8, 1983 - December 22, 1988
IICC - TRADECO, INC.
May 23, 1983 - December 22, 1988
O'BRIEN & SHEPARD, 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: 10/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
QUASAR TRADING, LLC
CRD#: 151974 / SEC#: , 8-68416
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
