John T. Brandt

WINNING POINTS ADVISORS, L.L.C.

BOCA RATON, FL 33432

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CRD#: 28925

Professional summary

John Thomas Brandt is a registered financial advisor currently at WINNING POINTS ADVISORS, L.L.C. located in Boca Raton, Florida.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1968. John has worked at 15 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view John Thomas Brandt'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

August 21, 2000 - Present

WINNING POINTS ADVISORS, L.L.C.

Office #1: 127 Nw 13th Streeet #13, Boca Raton, FL 33432

RIA

CRD#: 118077

BOCA RATON, FL

Past

September 8, 2009 - May 13, 2011

LPL FINANCIAL LLC

CRD#: 6413

BOCA RATON, FL

Past

February 17, 2000 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOCA RATON, FL

Past

March 30, 1993 - December 20, 1999

BAXTER FINANCIAL CORPORATION

CRD#: 24125

BOCA RATON, FL

Past

November 14, 1989 - March 16, 1993

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

May 18, 1987 - November 21, 1989

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

August 16, 1982 - January 28, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

November 1, 1981 - October 6, 1982

MORGAN STANLEY DW INC.

CRD#: 7556

Past

September 18, 1980 - October 19, 1981

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

March 14, 1978 - September 29, 1978

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

September 17, 1976 - June 23, 1977

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

February 13, 1974 - October 17, 1976

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

Past

August 8, 1973 - March 1, 1974

MURCH & CO., INC.

CRD#: 598

Past

June 22, 1971 - September 8, 1973

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

Past

November 21, 1968 - July 11, 1971

CLARK, DODGE & CO., INCORPORATED

CRD#: 161

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WINNING POINTS ADVISORS, L.L.C.

CRD#: 118077 / SEC#: 801-78654

RIA

Registered Investment Advisory firm - (10/4/2013 Approved)

Florida

Registered Investment Advisory firm - (10/31/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (11/29/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/21/2000)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/19/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 6/17/1981

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 11/18/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 9/22/1973

Registered Principal Examination

Current Firm

WINNING POINTS ADVISORS, L.L.C.

CRD#: 118077 / SEC#: 801-78654

RIA

Registered Investment Advisory firm - (10/4/2013 Approved)

Florida

Registered Investment Advisory firm - (10/31/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (11/29/2005 Terminated)

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Contact information

Main Address

127 Nw 13th Street Suite 13, Boca Raton, FL 33432

Mailing Address

Phone number

(561) 367-9111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINNING POINTS 2A 3.21.2024 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 176,372,545

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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Firm Stability Insights

John T. Brandt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Brandt's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

BAXTER FINANCIAL CORPORATION

KEOGLER, MORGAN & COMPANY, INC.

RAYMOND JAMES & ASSOCIATES, INC.

DREXEL BURNHAM LAMBERT INCORPORATED

MORGAN STANLEY DW INC.

KIDDER, PEABODY & CO. INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

THE ROBINSON-HUMPHREY COMPANY, LLC

MURCH & CO., INC.

KEYBANC CAPITAL MARKETS INC.

CLARK, DODGE & CO., INCORPORATED

Primary Firm SEC Registration

WINNING POINTS ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/19/1983

PC

Date: 6/17/1981

Series 1

Date: 11/18/1968

Series 40

Date: 9/22/1973

Current Firm

WINNING POINTS ADVISORS, L.L.C.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINNING POINTS ADVISORS, L.L.C.

TRUST BUT VERIFY

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