Leroy F. Winkel
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.
Leroy Frank Winkel was a registered financial professional .
Leroy is a previously registered financial professional and started their career in finance in 1994. Leroy had worked at 7 firms and has passed the Series 65, Series 63 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
August 17, 2009 - February 3, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 6, 2009 - February 3, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 23, 2002 - August 7, 2009
INVEST FINANCIAL CORPORATION
May 20, 2002 - August 7, 2009
INVEST FINANCIAL CORPORATION
December 14, 2000 - June 3, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - June 3, 2002
WELLS FARGO INVESTMENTS, LLC
October 22, 1997 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
June 20, 1995 - October 28, 1997
INVESTMENT CENTERS OF AMERICA, INC.
January 17, 1994 - June 27, 1995
TRUSTED SECURITIES ADVISORS CORP.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
