Roger E. Winters
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.
Roger Eugene Winters was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1985. Roger had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2020 - January 2, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 2020 - January 2, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 2018 - April 28, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 19, 2018 - April 28, 2020
TD AMERITRADE, INC.
December 19, 2018 - April 28, 2020
TD AMERITRADE, INC.
September 27, 2016 - October 10, 2018
TRUIST ADVISORY SERVICES, INC.
February 9, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
February 9, 2016 - October 10, 2018
TRUIST INVESTMENT SERVICES, INC.
January 28, 2009 - January 8, 2016
BB&T INVESTMENT SERVICES, INC.
January 27, 2009 - January 8, 2016
BB&T INVESTMENT SERVICES, INC.
May 12, 2004 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
April 13, 2004 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
October 10, 2002 - April 13, 2004
BB&T ASSET MANAGEMENT, INC.
November 18, 1987 - September 12, 1988
MORGAN STANLEY DW INC.
December 17, 1985 - November 27, 1987
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
