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JW

Josh Winstral

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CRD#: 2622982
JW

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.

Josh Winstral, who also goes by Joshua Hunt Winstral, was a registered financial professional .

Josh is a previously registered financial professional and started their career in finance in 1995. Josh had worked at 9 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joshua Hunt Winstral

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

January 2, 2013 - July 25, 2016

EMPIRE ASSET MANAGEMENT COMPANY

BD
CRD#: 143007
NEW YORK, NY
Past

May 26, 2011 - January 4, 2013

SARATOGA CAPITAL MARKETS

BD
CRD#: 120888
NEW YORK, NY
Past

April 19, 2011 - May 3, 2011

DIMENSION TRADING GROUP, LLC

BD
CRD#: 147929
NEW YORK, NY
Past

November 24, 2009 - December 6, 2010

MADISON PROPRIETARY TRADING GROUP, LLC

BD
CRD#: 139818
NEW YORK, NY
Past

April 28, 2008 - November 9, 2009

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

March 27, 2007 - May 2, 2008

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

May 17, 2006 - March 22, 2007

CENTURION SECURITIES L.L.C.

BD
CRD#: 120419
NEW YORK, NY
Past

December 3, 2001 - July 27, 2004

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

May 6, 1997 - December 3, 2001

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

January 16, 1997 - April 8, 1997

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

July 3, 1995 - January 9, 1997

ASIEL & CO. LLC

BD
CRD#: 1112
NEW YORK, NY

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
RR
Series 63
Date: 9/15/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/25/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/16/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/30/1995
General Securities Representative Examination

Current Firm

EA
EMPIRE ASSET MANAGEMENT COMPANY
EMPIRE ASSET MANAGEMENT COMPANY

CRD#: 143007 / SEC#: , 8-67520

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
29 Broadway 12th Floor, New York, NY 10006
Mailing Address
29 Broadway 12th Floor, New York, NY 10006
Phone number
(212) 417-8239
Established
New York since 11/02/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EMPIRE INVESTMENT GROUP HOLDINGS, LLCMEMBER-MANAGER
BANJANY, LAUREN MARIECHIEF OPERATIONS OFFICER4899767
EMPIRE ASSET MANAGEMENT OF NY, LTD.MANAGER
ZEOLI, GREGG LANCECEO/CCO/PRESIDENT/SHAREHOLDER/CROP/SROP/FINOP2620340

Disclosures

Arbitration1

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.

Company Information

EMPIRE ASSET MANAGEMENT COMPANY

CRD#: 143007

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