Winton G. Wilks
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.
Winton George Wilks III, who also goes by Harry Winston Wilkes Jr, Winton George Wilkes III, Wint Wilks, was a registered financial advisor .
Winton is a previously registered financial advisor and started their career in finance in 1987. Winton had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2006 - January 25, 2007
JESUP & LAMONT ADVISORS
March 23, 2006 - January 25, 2007
EMPIRE FINANCIAL GROUP, INC.
May 21, 2002 - March 10, 2006
LPL FINANCIAL LLC
April 11, 2002 - March 10, 2006
LPL FINANCIAL LLC
September 12, 2001 - April 12, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 18, 1993 - September 14, 2001
WOODBURY FINANCIAL SERVICES, INC.
January 22, 1991 - May 27, 1993
FOUNTAINHEAD FINANCIAL, INC.
April 5, 1989 - December 31, 1990
INLAND SECURITIES CORPORATION
April 11, 1988 - June 11, 1988
GUARDIAN INTERNATIONAL SECURITIES CORP.
September 29, 1987 - December 31, 1987
BENTLEY CAPITAL GROUP, INC.
September 14, 1987 - April 20, 1989
MYSTIC GLOBAL CAPITAL, 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
JESUP & LAMONT ADVISORS
CRD#: 108006 / SEC#: 801-57005
Contact information
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.
