Christopher J. Winters

WINTERS & CO. ADVISORS

LOS ANGELES, CA

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CRD#: 1273548

Professional summary

Christopher James Winters is a registered financial advisor currently at WINTERS & CO. ADVISORS, LLC located in Los Angeles, California.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Christopher has worked at 2 firms and has passed the Series 65, Series 50, Series 7 and Series 54 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Christopher James Winters'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®

None

Experience

Current

April 20, 2004 - Present

WINTERS & CO. ADVISORS, LLC

RIA

CRD#: 130999

LOS ANGELES, CA

Past

September 12, 1989 - March 29, 1993

LINTZ GLOVER WHITE & COMPANY, INC.

CRD#: 22906

VALLEY VILLAGE, CA

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

California
(5/13/2004)

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

IAR

Series 65

Date: 4/19/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 50

Date: 1/22/2016

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 54

Date: 6/7/2019

Municipal Advisor Principal Qualification Examination

Current Firm

WINTERS & CO. ADVISORS, LLC

CRD#: 130999 / SEC#:

Alabama

Registered Investment Advisory firm - (11/15/2019 Terminated)

Arkansas

Registered Investment Advisory firm - (11/30/2010 Terminated)

California

Registered Investment Advisory firm - (5/13/2004 Approved)

Colorado

Registered Investment Advisory firm - (4/15/2016 Terminated)

Connecticut

Registered Investment Advisory firm - (2/9/2021 Terminated)

Georgia

Registered Investment Advisory firm - (11/15/2019 Terminated)

Missouri

Registered Investment Advisory firm - (11/15/2019 Terminated)

Nebraska

Registered Investment Advisory firm - (1/7/2008 Terminated)

New Jersey

Registered Investment Advisory firm - (12/22/2009 Terminated)

New York

Registered Investment Advisory firm - (12/1/2020 Terminated)

North Carolina

Registered Investment Advisory firm - (11/18/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/27/2019 Terminated)

Puerto Rico

Registered Investment Advisory firm - (12/31/2006 Terminated)

Texas

Registered Investment Advisory firm - (11/30/2020 Terminated)

Virginia

Registered Investment Advisory firm - (11/15/2019 Terminated)

Washington

Registered Investment Advisory firm - (12/15/2019 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

Los Angeles, CA

Mailing Address

Phone number

(310) 471-4040

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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

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Christopher J. Winters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher James Winters's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINTERS & CO. ADVISORS, LLC

LINTZ GLOVER WHITE & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/19/2004

Series 50

Date: 1/22/2016

Series 7

Date: 1/21/1989

Series 54

Date: 6/7/2019

Current Firm

WINTERS & CO. ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

WINTERS & CO. ADVISORS, LLC

TRUST BUT VERIFY

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