Ian S. Winer
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.
Ian Scott Winer was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1997. Ian had worked at 9 firms and has passed the Series 63, Series 82TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2020 - August 1, 2024
DISRUPTIVE SECURITIES
October 30, 2012 - May 17, 2018
WEDBUSH SECURITIES INC.
October 13, 2010 - October 5, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
April 10, 2006 - August 16, 2006
CREDIT SUISSE SECURITIES (USA) LLC
March 3, 2003 - April 22, 2004
BANC OF AMERICA SECURITIES LLC
May 11, 2001 - March 12, 2003
CITIGROUP GLOBAL MARKETS INC.
May 1, 2001 - May 18, 2001
J.P. MORGAN SECURITIES INC.
May 21, 1999 - May 1, 2001
JPMSI
September 3, 1997 - June 2, 1999
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 55
Date: 2/1/2011
Limited Representative-Equity Trader ExamCurrent Firm
DISRUPTIVE SECURITIES
CRD#: 299155 / SEC#: , 8-70241
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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