Thomas E. Winnick
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 Eugene Winnick, who also goes by Thomas E Winnick, Tom Winnick, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2013 - May 27, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
February 1, 2013 - October 1, 2013
FS INVESTMENT SOLUTIONS, LLC
August 9, 2011 - May 30, 2012
UNIFIED FINANCIAL SECURITIES, LLC
March 6, 2003 - September 23, 2009
DWS DISTRIBUTORS, INC.
January 1, 1994 - December 19, 2002
BNY MELLON SECURITIES CORPORATION
August 17, 1992 - October 22, 1993
GLOBAL ATLANTIC DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
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