Harry L. Winston

WINSTON & COMPANY

Edmond Ok, OK

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CRD#: 1236374

Professional summary

Harry Lewis Winston III, CFP®, who also goes by Chip Winston III, Chip Winston, Harry Winston, is a registered financial advisor currently at WINSTON & COMPANY, INC. located in Edmond Ok, Oklahoma.

Harry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Harry has worked at 5 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chip Winston Iii | Chip Winston | Harry Winston

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) - RIA

Click below to view Harry Lewis Winston III'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®

CFP^®

Certified Financial Planner

Start date: 1993

Experience

Current

March 21, 1996 - Present

WINSTON & COMPANY, INC.

RIA

CRD#: 141514

Edmond Ok, OK

Past

October 18, 1993 - November 30, 1995

WINSTON SECURITIES, INC.

CRD#: 34560

Past

January 22, 1992 - November 4, 1993

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

December 2, 1991 - February 6, 1992

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

March 12, 1984 - February 12, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Florida
(3/21/1996)

IAR

Oklahoma
(8/8/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/23/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/29/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/19/1993

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/1992

General Securities Principal Examination

Current Firm

WINSTON & COMPANY, INC.

WINSTON & COMPANY, INC. | WINSTON - MAZUELOS & COMPANY

CRD#: 141514 / SEC#:

Florida

Registered Investment Advisory firm - (3/21/1996 Approved)

Oklahoma

Registered Investment Advisory firm - (8/8/2017 Approved)

Texas

Registered Investment Advisory firm - (11/16/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Edmond Ok, OK

Mailing Address

Phone number

(405) 400-1418

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	112
AUM (Assets Under Management)	$ 39,987,878

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.

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Harry L. Winston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Lewis Winston III's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINSTON & COMPANY, INC.

WINSTON SECURITIES, INC.

INVESTACORP, INC.

SPELMAN & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 3/23/1992

Series 7

Date: 11/29/1991

Series 53

Date: 8/19/1993

Series 24

Date: 3/2/1992

Current Firm

WINSTON & COMPANY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WINSTON & COMPANY, INC.

TRUST BUT VERIFY

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