Telum J. 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.
Telum Jakey Winters, who also goes by Jakey Eugene Winters, Telum J. Winters, Telum Jakey Eugene Winters, was a registered financial advisor .
Telum is a previously registered financial advisor and started their career in finance in 1987. Telum had worked at 16 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10, Series 9 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
February 24, 2009 - September 2, 2009
UBS FINANCIAL SERVICES INC.
October 17, 2008 - September 2, 2009
UBS FINANCIAL SERVICES INC.
November 29, 2005 - October 21, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 28, 2005 - October 21, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 29, 2003 - November 30, 2005
AMERIPRISE ADVISOR SERVICES, INC.
March 5, 2002 - November 30, 2005
AMERIPRISE ADVISOR SERVICES, INC.
April 28, 2000 - March 11, 2002
MORGAN STANLEY DW INC.
July 13, 1998 - July 22, 1998
FIRST LIBERTY INVESTMENT GROUP, INC.
October 20, 1997 - November 25, 1997
FMSBONDS, INC.
January 1, 1997 - April 24, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 1994 - September 10, 1996
BNY MELLON SECURITIES CORPORATION
June 7, 1993 - November 7, 1994
NATIONSSECURITIES
May 11, 1993 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 8, 1991 - June 12, 1992
SECURITIES AMERICA, INC.
August 18, 1989 - November 8, 1989
WALL STREET WEST, INC.
January 22, 1988 - March 2, 1989
SECURITIES USA, INC.
April 16, 1987 - January 30, 1988
PARKER JAMESON, INC.
April 1, 1987 - May 1, 1987
CENTRE/FOUR SECURITIES, INC.
February 24, 1987 - April 3, 1987
GREENTREE SECURITIES CORP.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
