Patrick L. 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.
Patrick Larry Winton, who also goes by Patrick Larry Winton Jr, Winton, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1994. Patrick had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 86, Series 87 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
October 27, 2015 - April 18, 2016
DAWSON JAMES SECURITIES, INC.
November 20, 2014 - May 14, 2015
A.G.P. / ALLIANCE GLOBAL PARTNERS
July 1, 2013 - April 30, 2014
LAIDLAW & COMPANY (UK) LTD.
April 21, 2012 - July 1, 2013
BROOKLINE GROUP, LLC
February 25, 2008 - June 30, 2010
GLOBAL HUNTER SECURITIES, LLC
March 18, 2005 - February 28, 2008
INTL ADVISORY CONSULTANTS INC.
July 11, 2003 - February 28, 2008
STERNE, AGEE & LEACH, INC.
April 3, 2002 - May 13, 2003
THE SEIDLER COMPANIES INCORPORATED
October 18, 2000 - May 15, 2002
ROTH CAPITAL PARTNERS, LLC
June 7, 1999 - October 16, 2000
E*OFFERING
June 7, 1994 - January 16, 1995
CITIGROUP GLOBAL MARKETS INC.
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
