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Brian S. Winchester

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CRD#: 2741090
BW

Professional summary

Brian Scot Winchester was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Brian had worked at 2 firms, which includes SECURITIES AMERICA INC., SUNSET FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

November 14, 2014 - September 19, 2016

SECURITIES AMERICA, INC.

BD
CRD#: 10205
TALLAHASSEE, FL
Past

July 7, 1997 - December 31, 2009

SUNSET FINANCIAL SERVICES, INC.

RIA
CRD#: 3538
TALLAHASSEE, FL
Past

May 9, 1996 - November 14, 2014

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
TALLAHASSEE, FL

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: 9/24/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/19/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/3/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SA
SECURITIES AMERICA, INC.
SECURITIES AMERICA FINANCIAL SERVICES | WILLIAMS, WILD & LARSON SECURITIES, INC. | TYMAN SECURITIES, INC. | TMG SECURITIES, INC. | SECURITIES AMERICA, INC. | SECURITIES AMERICA WEALTH MANAGEMENT GROUP

CRD#: 10205 / SEC#: , 8-26602

BD
Terminated by SEC on 08/17/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/08/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SECURITIES AMERICA FINANCIAL CORP.SHAREHOLDER
CHAFFEE, HAROLD GERARDVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2905661
CORNICK, GREGORY ALLENDIRECTOR3132991
FORD, ERINN JUNEINTERIM PRESIDENT, DIRECTOR AND CEO2176816
GERB, JASON HARRISSVP, CHIEF REGULATORY OFFICER3021815
HULETT, KIRK JESSEEXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR2528380
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, DIRECTOR2627931
SCHMIDT, DAVID MARTINTREASURER, FINANCIAL AND OPERATIONS PRINCIPAL5675524

Disclosures

Regulatory Event58
Arbitration27
Bond5

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

SECURITIES AMERICA, INC.

CRD#: 10205

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