Arnold A. Winters
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.
Arnold Alan Winters, who also goes by Arnie Winters, Arnold A Winters, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1998. Arnold had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - December 31, 2017
THOMAS ASSET MANAGEMENT
August 13, 2010 - December 31, 2011
THOMAS ASSET MANAGEMENT
June 16, 2008 - December 31, 2009
THOMAS ASSET MANAGEMENT
March 13, 2006 - December 31, 2006
THOMAS ASSET MANAGEMENT
April 29, 2005 - December 31, 2005
THOMAS ASSET MANAGEMENT
November 23, 2004 - February 16, 2010
THOMAS GROUP CAPITAL
October 20, 2004 - November 11, 2004
MIDSOUTH CAPITAL, INC.
September 23, 2004 - November 11, 2004
MIDSOUTH CAPITAL, INC.
January 22, 2003 - July 21, 2004
J.P. MORGAN SECURITIES LLC
August 6, 2002 - July 21, 2004
J.P. MORGAN SECURITIES LLC
November 22, 1999 - August 16, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 1998 - August 16, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
THOMAS ASSET MANAGEMENT
CRD#: 117181 / SEC#: 801-61099
Contact information
Red Flags
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