Kenneth R. Winton
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.
Kenneth Robert Winton was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1986. Kenneth had worked at 6 firms and has passed the Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 1994 - May 18, 1994
FINANCIAL WEST GROUP
January 30, 1991 - February 15, 1994
CALIFORNIA ONE INVESTMENTS
August 11, 1989 - February 14, 1991
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
June 22, 1989 - October 3, 1989
CETERA WEALTH SERVICES, LLC
March 11, 1987 - June 8, 1989
GFC SECURITIES CORPORATION
May 28, 1986 - April 15, 1987
PFS INVESTMENTS 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
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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