Stuart E. Winkler
Professional summary
Stuart Edward Winkler was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stuart is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Stuart had worked at 4 firms, which includes A.S. GOLDMEN & CO. INC., MIDDLEGATE SECURITIES INC., STEINBERG & LYMAN, ALEXANDER MICHAELS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 1989 - July 26, 1999
A.S. GOLDMEN & CO., INC.
April 28, 1988 - March 7, 1989
MIDDLEGATE SECURITIES INC.
June 18, 1987 - April 21, 1988
STEINBERG & LYMAN
May 28, 1986 - May 8, 1987
ALEXANDER MICHAELS, 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
A.S. GOLDMEN & CO., INC.
CRD#: 23180 / SEC#: , 8-40257
Contact information
Documents
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.
