Harry D. 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.
Harry Derrick Winters JR was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1988. Harry had worked at 9 firms and has passed the Series 65, Series 63, SIE 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 17, 2015 - May 21, 2019
FOX WEALTH ADVISORS LLC
January 2, 2014 - August 4, 2015
CALTON & ASSOCIATES, INC.
April 29, 2006 - December 23, 2013
FOX FINANCIAL MANAGEMENT CORPORATION
April 26, 2005 - May 3, 2006
EDI FINANCIAL, INC.
January 3, 2003 - May 5, 2005
WORLD GROUP SECURITIES, INC.
November 29, 1999 - February 26, 2001
MORGAN STANLEY DW INC.
May 7, 1991 - November 17, 1999
J.P. MORGAN SECURITIES LLC
February 8, 1990 - May 8, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 1988 - February 20, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
FOX WEALTH ADVISORS LLC
CRD#: 142012 / SEC#:
Contact information
Red Flags
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