Winston G. Mollena
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.
Winston George Mollena was a registered financial professional .
Winston is a previously registered financial professional and started their career in finance in 1984. Winston had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2013 - February 10, 2017
AVANTAX ADVISORY SERVICES
November 4, 2009 - February 10, 2017
AVANTAX INVESTMENT SERVICES, INC.
December 1, 2006 - November 1, 2007
QUESTAR CAPITAL CORPORATION
March 24, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
August 4, 2004 - December 31, 2005
THE O.N. EQUITY SALES COMPANY
July 15, 2002 - June 30, 2004
SPC
January 2, 2001 - June 30, 2004
SIGMA FINANCIAL CORPORATION
November 29, 2000 - December 31, 2000
G. A. REPPLE & COMPANY
January 27, 1995 - November 28, 2000
G. A. REPPLE & COMPANY
May 18, 1991 - February 22, 1995
PERSONAL ASSET MANAGEMENT LTD.
July 26, 1984 - July 12, 1989
GLOBAL CAPITAL SECURITIES, 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
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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