Tony R. Van Winkle
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.
Tony Russell Van Winkle, who also goes by Tony Van Winkle, Tony Russell Vanwinkle, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 1988. Tony had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2023 - June 26, 2023
TD AMERITRADE, INC.
July 8, 1997 - June 26, 2023
CHARLES SCHWAB & CO., INC.
October 28, 1989 - June 26, 2023
CHARLES SCHWAB & CO., INC.
January 12, 1989 - July 6, 1989
FSC SECURITIES CORPORATION
September 20, 1988 - January 17, 1989
BLINDER, ROBINSON & CO., 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
Series 8
Date: 8/3/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
