Roy P. Winkworth
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.
Roy Paul Winkworth, who also goes by Paul Winkworth, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1992. Roy had worked at 9 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
January 25, 2008 - July 27, 2017
SUMMIT FINANCIAL GROUP INC
January 23, 2008 - July 27, 2017
SUMMIT BROKERAGE SERVICES, INC.
April 11, 2005 - February 19, 2008
R. SEELAUS & CO., LLC
October 20, 2004 - February 23, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - February 23, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 11, 2002 - October 20, 2004
QUICK & REILLY, INC.
March 16, 2001 - October 20, 2004
QUICK & REILLY, INC.
September 28, 1995 - January 22, 2001
PNC BROKERAGE CORP
March 28, 1994 - October 10, 1995
CONSECO SECURITIES, INC.
March 13, 1994 - October 12, 1995
CHEMICAL INVESTOR SERVICES, INC.
July 13, 1992 - March 14, 1994
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
Red Flags
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