Duane D. 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.
Duane Dexter Van Winkle, who also goes by Duane Dexter Vanwinkle, was a registered financial professional .
Duane is a previously registered financial professional and started their career in finance in 1989. Duane had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2011 - December 23, 2024
CITY NATIONAL SECURITIES, INC.
September 15, 2003 - April 7, 2010
ESSEX NATIONAL SECURITIES, LLC
August 20, 2002 - September 15, 2003
GATEWAY INVESTMENT SERVICES, INC.
August 31, 1999 - August 23, 2002
ESSEX NATIONAL SECURITIES, LLC
March 8, 1994 - August 19, 1999
GATEWAY INVESTMENT SERVICES, INC.
December 6, 1993 - February 23, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 14, 1993 - December 22, 1993
CAPITAL BROKERAGE CORPORATION
January 24, 1990 - June 2, 1993
INVEST FINANCIAL CORPORATION
November 22, 1989 - January 23, 1990
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
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
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL BANK | SOLE SHAREHOLDER | |
| BANUELOS, ALMA DELIA | BOARD MEMBER | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP, CFO | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 2,004 |
| AUM (Assets Under Management) | $ 1,591,349,877 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
