Daniel A. Winsky
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.
Daniel Andrew Winsky was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2010 - October 14, 2014
HARRISDIRECT LLC
April 16, 2010 - October 14, 2014
E*TRADE SECURITIES LLC
April 1, 2008 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 2008 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 29, 2007 - April 14, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - April 14, 2008
CITIGROUP GLOBAL MARKETS INC.
April 24, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 20, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 24, 2005 - March 8, 2006
M&T SECURITIES, INC.
January 24, 2005 - March 8, 2006
M&T SECURITIES, INC.
January 22, 2003 - January 19, 2005
TRUIST INVESTMENT SERVICES, INC.
April 16, 2002 - January 19, 2005
TRUIST INVESTMENT SERVICES, INC.
January 28, 1999 - April 5, 2002
HOWARD WEIL INCORPORATED
July 3, 1997 - September 21, 1998
CRESTAR SECURITIES CORPORATION
January 1, 1997 - March 31, 1997
CRESTAR SECURITIES CORPORATION
February 5, 1993 - January 1, 1997
CITIZENS BROKERAGE SERVICES, INC.
August 24, 1988 - June 11, 1992
CHARLES SCHWAB & CO., INC.
June 18, 1985 - August 6, 1988
AMERIPRISE ADVISOR SERVICES, INC.
September 10, 1984 - November 26, 1991
FORESTERS FINANCIAL SERVICES, 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: 3/9/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
