Charles S. Winslow

ANDES CAPITAL GROUP

Chicago, IL 60606

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CRD#: 2543271

Professional summary

Charles Shaw Winslow, who also goes by Charles Shan Winslow, is a registered financial professional currently at ANDES CAPITAL GROUP, LLC located in Chicago, Illinois.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1994. Charles has worked at 8 firms and has passed the Series 63, Series 66, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Shan Winslow

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) - BD

Click below to view Charles Shaw Winslow's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 8, 2022 - Present

ANDES CAPITAL GROUP, LLC

Office #1: 205 West Wacker Drive Suite 610, Chicago, IL 60606

CRD#: 139212

Chicago, IL

Past

December 11, 2015 - January 19, 2018

EQUITY SERVICES, INC.

RIA

CRD#: 265

WESTERVILLE, OH

Past

December 11, 2015 - January 19, 2018

EQUITY SERVICES, INC.

CRD#: 265

WESTERVILLE, OH

Past

July 29, 2013 - November 18, 2015

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

COLUMBUS, OH

Past

June 21, 2013 - November 18, 2015

SIGNATOR INVESTORS, INC.

CRD#: 468

COLUMBUS, OH

Past

December 4, 2007 - May 23, 2013

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

DUBLIN, OH

Past

May 9, 2006 - July 2, 2013

NYLIFE SECURITIES LLC

CRD#: 5167

DUBLIN, OH

Past

September 19, 2000 - May 9, 2001

WOFEX BROKERAGE, INC.

CRD#: 103951

NEW YORK, NY

Past

November 6, 1995 - March 12, 1996

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

December 21, 1994 - November 16, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Ohio
(7/19/2022)

Exams

State Security Law Exam

Series 63

Date: 7/18/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/30/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/11/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 5/8/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ANDES CAPITAL GROUP, LLC

CRD#: 139212 / SEC#: , 8-67202

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

205 West Wacker Drive Suite 610, Chicago, IL 60606

Mailing Address

205 West Wacker Drive Suite 610, Chicago, IL 60606

Phone number

(312) 376-4500

Established

Illinois since 08/03/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
POOLE, SEAN WILLIAM	MEMBER	7010269
MCGAUGH, RAYMOND SCOTT	MEMBER	2649886
SPEARS, CURTIS LAVELL	PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER	4117812
LENART, BRIAN DOUGLAS	FINOP, CFO, PFO/POO	736107
PEARLMAN, CRAIG ALAN	PRINCIPAL	4456956

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

Charles S. Winslow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Shaw Winslow's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

WOFEX BROKERAGE, INC.

FINANCIAL SQUARE PARTNERS

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/18/2022

Series 66

Date: 11/30/2007

Series 65

Date: 1/11/1995

Series 7

Date: 5/8/2006

FINRA

Current Firm

ANDES CAPITAL GROUP, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ANDES CAPITAL GROUP, LLC

TRUST BUT VERIFY

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