Eric H. Winkler
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.
Eric Herman Winkler was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1984. Eric had worked at 10 firms and has passed the Series 7TO, 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
December 6, 2019 - April 22, 2021
STONEX SECURITIES INC.
October 27, 1992 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
June 21, 1991 - July 14, 1992
INVEST FINANCIAL CORPORATION
July 27, 1990 - May 31, 1991
MARKETING ONE SECURITIES, INC.
November 6, 1989 - October 4, 1990
METLIFE INVESTORS DISTRIBUTION COMPANY
January 23, 1989 - November 28, 1989
CYPRESS CAPITAL CORPORATION
May 16, 1988 - October 31, 1988
CHRISTOPHER WEIL & COMPANY, INC
May 30, 1986 - April 19, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
February 20, 1985 - June 13, 1986
FINANCIAL PLANNERS EQUITY CORPORATION
July 26, 1984 - February 4, 1985
EQUITEC SECURITIES COMPANY
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 7TO
Date: 6/27/2023
General Securities Representative ExaminationCurrent Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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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