Bruce D. Winston
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.
Bruce David Winston was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1989. Bruce had worked at 18 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
February 22, 2017 - May 3, 2017
AMERICAN CENTURY INVESTMENT SERVICES INC.
August 18, 2016 - November 28, 2016
TD AMERITRADE, INC.
August 16, 2016 - November 28, 2016
TD AMERITRADE, INC.
August 16, 2016 - November 28, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 4, 2015 - November 13, 2015
PFG ADVISORS
March 31, 2015 - October 29, 2015
LPL FINANCIAL LLC
March 31, 2015 - October 29, 2015
LPL FINANCIAL LLC
January 21, 2014 - January 13, 2015
CETERA INVESTMENT ADVISERS LLC
November 30, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
November 30, 2010 - January 13, 2015
CETERA INVESTMENT SERVICES LLC
September 13, 2006 - December 1, 2010
CUSO FINANCIAL SERVICES, L.P.
September 12, 2006 - December 1, 2010
CUSO FINANCIAL SERVICES, L.P.
December 14, 2004 - August 28, 2006
COUNTRYWIDE INVESTMENT SERVICES, INC.
August 15, 2003 - January 26, 2004
STRATEGIC ADVISERS LLC
August 7, 2003 - January 26, 2004
FIDELITY BROKERAGE SERVICES LLC
April 21, 1999 - July 22, 2003
CETERA WEALTH SERVICES, LLC
May 1, 1998 - January 1, 1999
WAMU INVESTMENTS, INC.
August 29, 1996 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 19, 1995 - July 12, 1996
BANKBOSTON INVESTOR SERVICES, INC.
March 12, 1994 - October 2, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 18, 1993 - February 25, 1994
ASB FINANCIAL SERVICES
May 14, 1990 - May 18, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 22, 1989 - May 24, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
August 22, 1989 - April 14, 1993
IDS LIFE INSURANCE COMPANY
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
AMERICAN CENTURY INVESTMENT SERVICES INC.
CRD#: 17437 / SEC#: , 8-35220
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| LUCHINSKY, RICHARD TODD | SVP, PRESIDENT | 2065489 |
| PAK, JOHN DONGJIN | CLO | 3226458 |
| REDLINE, CHERYL LOUISE | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5371811 |
| SCHAPPERT, BRIAN JOSEPH | SVP, DIRECTOR | 5362490 |
| SHELTON, AMY DIANE | CCO | 2556023 |
| SMITH, RICHARD ANDREW | SVP, DIRECTOR | 6109979 |
| TURNER, MICHAEL RYAN | DIRECTOR | 5469914 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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