FW
Frank T. Winters
ST. BERNARD FINANCIAL SERVICES
Tucson, AZ
Some features on this profile are disabled
CRD#: 1733003
FW
Professional summary
Frank Thomas Winters, who also goes by F. Thomas Winters III, Frank Thomas Winters III, Tom Winters, is a registered financial advisor currently at ST. BERNARD FINANCIAL SERVICES, INC. located in Tucson, Arizona.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Frank has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
F. Thomas Winters Iii | Frank Thomas Winters Iii | Tom Winters
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Comprehensive Advisors Group LLC; 10973 North Black Canyon Ct, Tucsan, AZ 85737; Support Company/DBA (Owner); President/Managing Director ; Not investment related; Start Date: 04/15/2007; Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0
Description of duties: Support Entity for RJFS Activities.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Thomas Winters's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Thomas Winters's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 24, 2021 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 36956
Tucson, AZ
Current
August 23, 2021 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 1609 West Main St, Russellville, AR 72801Office #2: 1609 West Main St., Russellville, AR 72801RIA
BD
CRD#: 36956
Russellville, AR
Past
June 20, 2019 - September 17, 2021
IFP SECURITIES, LLC
BD
CRD#: 297287
Tucson, AZ
Past
September 6, 2018 - September 17, 2021
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Tucson, AZ
Past
January 2, 2009 - August 31, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
MESA, AZ
Past
March 23, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
MESA, AZ
Past
March 16, 2007 - August 31, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MESA, AZ
Past
February 24, 2005 - March 1, 2007
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
NEWPORT BEACH, CA
Past
February 18, 2005 - March 1, 2007
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEWPORT BEACH, CA
Past
September 24, 2002 - February 15, 2005
SMART INVESTMENTS ADVISORY INCORPORATED
RIA
CRD#: 107778
NEWPORT BEACH, CA
Past
September 11, 2002 - February 15, 2005
THE SEIDLER COMPANIES INCORPORATED
BD
CRD#: 3911
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/23/2021)
IAR
Arizona(8/30/2021)
RR
California(8/23/2021)
IAR
California(8/24/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1609 West Main St., Russellville, AR 72801
Mailing Address
1609 West Main St., Russellville, AR 72801
Phone number
(479) 967-1200
Established
Arkansas since 03/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
109
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 6 |
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.
