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Harry Derrick Winters Jr

CRD# 1844323·Registered 1988 - 2019
Previously Registered: Being a previously registered professional could mean that Harry 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.

Professional Summary

Harry Derrick Winters JR was a registered financial advisor. Harry was a previously registered financial professional and started their career in finance 1988 - 2019. Harry had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

FOX WEALTH ADVISORS LLC·CRD# 142012
RIA
Carrollton, TX
September 17, 2015 - May 21, 2019
CALTON & ASSOCIATES, INC.·CRD# 20999
BD
Tampa, FL
January 2, 2014 - August 4, 2015
FOX FINANCIAL MANAGEMENT CORPORATION·CRD# 134277
BD
Carrollton, TX
April 29, 2006 - December 23, 2013
EDI FINANCIAL, INC.·CRD# 15699
BD
Irving, TX
April 26, 2005 - May 3, 2006
WORLD GROUP SECURITIES, INC.·CRD# 114473
BD
Duluth, GA
January 3, 2003 - May 5, 2005
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
November 29, 1999 - February 26, 2001
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
May 7, 1991 - November 17, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
February 8, 1990 - May 8, 1991
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
June 22, 1988 - February 20, 1990

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Current Firm

FW
FOX WEALTH ADVISORS LLC

FFM ADVISOR GROUP LLC | NORTH TEXAS INSURANCE GROUP, INC. | FOX WEALTH ADVISORS LLC | FOX FINANCIAL MANAGEMENT, INC. | FOX FINANCIAL MANAGEMENT CORP.

CRD#: 142012

Contact Information

Main Address

2129 North Josey Lane, Carrollton, TX 75006

Documents

Latest Form ADV

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2015About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1988About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1988About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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