Thomas J. Winters

Some features on this profile are disabled

CRD#: 2148901

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.

Thomas Joseph Winters SR, who also goes by Thomas Joseph Winters, Thomas Winters, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 5 firms and has passed the Series 66, Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Joseph Winters | Thomas Winters

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.

23)SMITH AFFILIATED CAPITAL CORP, 88 PINE STREET, NYC, NY 10005 PRODUCT SPECIALIST RIA;(CLIENT SERVICE AND MARKETING); START 07/21;2015 HOURS PER MONTH, 150 DURING TRADING;COMPENSATED BY SALARY & BONUS. 22) SEIX INVESTMENT ADVISORS, LLC;10 MOUNTAINVIEW ROAD SUITE C-200,UPPER SADDLE RIVER, NJ 07458; INVESTMENT RELATED, INSTITUTIONAL FIXED INCOME RIA;TITLE-SR. INVESTMENT MANAGER/MANAGING DIRECTOR-CLIENT SERVICE AND MARKETING; START 05/02;200 HOURS PER MONTH, 150 DURING TRADING;COMPENSATED BY SALARY & BONUS. 2) ST FRANCIS CABRINI ACADEMY;181 SUYDAM STREET, BROOKLYN, NY 11221; NON INVESTMENT REALTED; BEGAN 03/2013; CATHOLIC ELEMENTARY SCHOOL; VICE CHAIRMAN, BOARD OF TRUSTEES; ORGANIZATION OF SCHOOL; 2 HOURS PER MONTH NON DURING TRADING HOURS. 22. INVESTMENT RELATED, INSTITUTIONAL FIXED INCOME RIA;TITLE-SR. INVESTMENT MANAGER/MANAGING DIRECTOR-CLIENT SERVICE AND MARKETING; START 05/02;200 HOURS PER MONTH, 150 DURING TRADING;COMPENSATED BY SALARY

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 22, 2015 - July 17, 2025

SMITH AFFILIATED CAPITAL CORP.

RIA

CRD#: 107675

NEW YORK, NY

Past

March 11, 2013 - July 25, 2014

VIRTUS FIXED INCOME ADVISERS, LLC

RIA

CRD#: 146029

UPPER SADDLE RIVER, NJ

Past

January 14, 2013 - July 28, 2014

FORESIDE ASSOCIATES, LLC

CRD#: 13494

UPPER SADDLE RIVER, NJ

Past

August 25, 1995 - May 1, 2002

BELMONT PARTNERS SECURITIES INC.

CRD#: 30189

WASHINGTON, VA

Past

September 23, 1991 - September 6, 1994

CX, INC.

CRD#: 19168

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SMITH AFFILIATED CAPITAL CORP.

SMITH AFFILIATED CAPITAL CORP | SMITH AFFILIATED CAPITAL CORP.

CRD#: 107675 / SEC#: 801-17037

RIA

Registered Investment Advisory firm - (4/1/1982 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/7/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/12/1991

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/17/1991

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 1/11/2013

General Securities Representative Examination

Current Firm

SMITH AFFILIATED CAPITAL CORP.

SMITH AFFILIATED CAPITAL CORP | SMITH AFFILIATED CAPITAL CORP.

CRD#: 107675 / SEC#: 801-17037

RIA

Registered Investment Advisory firm - (4/1/1982 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

45 Broadway Suite 210, New York, NY 10006

Mailing Address

Phone number

(212) 644-9440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAC ADV PART 2 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	124
AUM (Assets Under Management)	$ 1,744,635,439

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Winters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VIRTUS FIXED INCOME ADVISERS, LLC

FORESIDE ASSOCIATES, LLC

BELMONT PARTNERS SECURITIES INC.

CX, INC.

Primary Firm SEC Registration

SMITH AFFILIATED CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2013

Series 63

Date: 8/12/1991

Series 65

Date: 5/17/1991

Series 7

Date: 1/11/2013

Current Firm

SMITH AFFILIATED CAPITAL CORP.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMITH AFFILIATED CAPITAL CORP.

TRUST BUT VERIFY

Similar Advisors