Robert T. Winward
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.
Robert Terry Winward JR, who also goes by Rob Terry Winward, Robert T Winward Jr, Robert T Winward, Robert Terry Winward Jr, Robert Terry Winward, Robert T Winward Jr Jr, Robert T Winward Jr. Jr, Rob Terry Winward Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2019 - October 19, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 5, 2016 - December 31, 2016
VOYA FINANCIAL ADVISORS, INC.
April 30, 2013 - June 5, 2015
ALLSTATE FINANCIAL SERVICES, LLC
June 1, 2009 - June 25, 2012
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 1, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
June 24, 1999 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
November 28, 1997 - May 13, 1999
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
