Christopher M. Winton
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.
Christopher Michael Winton was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1991. Christopher had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 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
January 3, 2022 - January 4, 2023
PRINCIPAL SECURITIES, INC.
January 2, 2022 - January 4, 2023
PRINCIPAL SECURITIES, INC.
July 15, 2015 - December 31, 2021
PRINCIPAL SECURITIES, INC.
July 2, 2015 - December 31, 2021
PRINCIPAL SECURITIES, INC.
February 26, 2015 - June 19, 2015
FIRST ADVISORS NATIONAL, LLC
July 2, 2010 - February 12, 2015
VALIC FINANCIAL ADVISORS, INC.
June 23, 2010 - February 12, 2015
VALIC FINANCIAL ADVISORS, INC.
August 20, 2008 - January 15, 2010
ZACKS INVESTMENT MANAGEMENT, INC.
August 15, 2008 - January 15, 2010
LBMZ SECURITIES, INC.
October 11, 2004 - March 10, 2008
AMERIPRISE ADVISOR SERVICES, INC.
September 27, 2004 - March 10, 2008
AMERIPRISE ADVISOR SERVICES, INC.
August 4, 2000 - October 13, 2004
UBS FINANCIAL SERVICES INC.
August 4, 2000 - October 13, 2004
UBS FINANCIAL SERVICES INC.
February 9, 1998 - August 8, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 1995 - March 3, 1998
CITIGROUP GLOBAL MARKETS INC.
July 15, 1992 - April 20, 1995
DICKINSON & CO.
August 7, 1991 - July 29, 1992
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
