Kerry M. Winter
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.
Kerry Mathew Winter was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1992. Kerry had worked at 5 firms and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2015 - April 16, 2015
LPS CAPITAL LLC
October 31, 2012 - August 4, 2014
DEALERWEB LLC
June 10, 1999 - October 24, 2012
BGC FINANCIAL, L.P.
July 15, 1996 - November 25, 1998
ICAP SECURITIES USA LLC
April 14, 1992 - October 19, 1999
GARBAN CAPITAL MARKETS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
