Scott E. Winski
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.
Scott Edward Winski was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 14 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2010 - April 17, 2012
WOODSTOCK FINANCIAL GROUP, INC.
June 27, 1997 - August 26, 2010
APS FINANCIAL CORPORATION
May 9, 1996 - April 10, 1997
CANTELLA & CO., INC.
April 3, 1995 - June 15, 1995
WESTCAP SECURITIES, L.P.
June 22, 1994 - February 13, 1995
MASTERSON MORELAND SAUER WHISMAN, INC.
May 22, 1992 - July 5, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
May 18, 1992 - July 5, 1994
WESTCAP SECURITIES, L.P.
March 8, 1991 - June 6, 1992
MURCHISON INVESTMENT BANKERS, INC.
July 13, 1990 - December 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1990 - April 24, 1990
SCHAEFER SECURITIES, INC.
November 22, 1989 - February 6, 1990
M.G.S.I. SECURITIES, INC.
December 20, 1988 - November 25, 1989
LEHMAN BROTHERS INC.
April 7, 1988 - January 3, 1989
INVESTACORP, INC.
August 31, 1987 - May 19, 1988
SWINK & COMPANY, INC.
February 24, 1987 - September 1, 1987
MOONEY'S SECURITIES, 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
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
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.
