Winfield A. Boileau

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CRD#: 25052

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.

Winfield Allen Boileau was a registered financial professional .

Winfield is a previously registered financial professional and started their career in finance in 1973. Winfield had worked at 12 firms and has passed the Series 66, Series 63, Series 5 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 10, 2011 - April 12, 2012

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

NEW YORK, NY

Past

December 15, 2009 - January 19, 2011

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

RED BANK, NJ

Past

December 15, 2009 - January 19, 2011

OPPENHEIMER & CO. INC.

CRD#: 249

RED BANK, NJ

Past

July 2, 2002 - June 15, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

RED BANK, NJ

Past

November 28, 1997 - June 15, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

RED BANK, NJ

Past

August 24, 1982 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

January 31, 1980 - August 27, 1982

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

November 6, 1979 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

March 10, 1978 - November 1, 1979

PERSHING LLC

CRD#: 7560

Past

February 24, 1978 - March 10, 1978

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

CRD#: 7554

Past

November 28, 1977 - February 24, 1978

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

CRD#: 6458

Past

April 29, 1977 - December 7, 1977

WOOD, STRUTHERS & WINTHROP INC

CRD#: 903

Past

July 15, 1974 - June 10, 1977

BLYTH EASTMAN DILLON CAPITAL MARKETS, INC.

CRD#: 6645

Past

November 21, 1973 - June 18, 1974

A G BECKER & CO INC

CRD#: 1000001

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/24/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/15/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/14/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 11/19/1973

Registered Representative Examination

Current Firm

BMO CAPITAL MARKETS GKST INC.

BMO CAPITAL MARKETS GKST INC. | GRIFFIN, KUBIK, STEPHENS & THOMPSON, INC.

CRD#: 8352 / SEC#: , 8-25091

Terminated by SEC on 01/03/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 07/16/1980

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
PIPER JAFFRAY & CO.	100% SHAREHOLDER	665
CARTER, TIMOTHY LEE	DIRECTOR AND TREASURER	2676342
MCCAGUE, ANNCHARLOTTE	DIRECTOR AND CHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Winfield A. Boileau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

PERSHING LLC

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

WOOD, STRUTHERS & WINTHROP INC

BLYTH EASTMAN DILLON CAPITAL MARKETS, INC.

A G BECKER & CO INC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/24/2002

Series 63

Date: 4/15/1992

Series 5

Date: 10/14/1981

Series 1

Date: 11/19/1973

Current Firm

BMO CAPITAL MARKETS GKST INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BMO CAPITAL MARKETS GKST INC.

TRUST BUT VERIFY

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