Jennifer Winters
Professional Summary
Jennifer Winters, who also goes by Jennifer Quatrone, is a registered financial advisor currently at COMMONWEALTH AUSTRALIA SECURITIES LLC located in New York, New York. Jennifer is registered as a RR (Registered Representative) and started their career in finance in 1995. Jennifer has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 4, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jennifer Quatrone
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
COMMONWEALTH AUSTRALIA SECURITIES LLC | COMMSEC LLC
Contact Information
Main Address
599 Lexington Avenue 30th Fl, New York, NY 10022Mailing Address
599 Lexington Avenue 30th Fl, New York, NY 10022Phone Number
(212) 848-9200Established
Delaware since 05/10/2005Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (35 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | — |
| BRAID, CHRISTOPHER ROYCE | CHIEF EXECUTIVE OFFICER | 7007793 |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(3/13/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jan 1999Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2006About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2006About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jennifer Winters's CRS (Customer Relationship Summary).
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