Samuel R. Winch

WINCH FINANCIAL

APPLETON, WI 54911

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CRD#: 3126026

Professional summary

Samuel Ronald Winch is a registered financial advisor currently at WINCH FINANCIAL located in Appleton, Wisconsin.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Samuel has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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 Samuel Ronald Winch'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

September 2, 2011 - Present

WINCH FINANCIAL

Office #1: 424 East Wisconsin Avenue, Appleton, WI 54911

RIA

CRD#: 110194

APPLETON, WI

Past

October 16, 2009 - July 19, 2011

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

APPLETON, WI

Past

December 21, 2007 - July 19, 2011

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

APPLETON, WI

Past

October 19, 1999 - January 2, 2008

SECURITIES AMERICA, INC.

CRD#: 10205

APPLETON, WI

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".

WINCH FINANCIAL

WINCH ADVISORY SERVICES LLC | WINCH FINANCIAL | WINCH ADVISORY SERVICES, LLC

CRD#: 110194 / SEC#: 801-55488

RIA

Registered Investment Advisory firm - (4/30/1998 Approved)

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

Texas
(12/1/2015)

IAR

Wisconsin
(9/2/2011)

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

IAR

Series 65

Date: 10/2/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/10/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/18/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/1/2002

General Securities Principal Examination

Current Firm

WINCH FINANCIAL

WINCH ADVISORY SERVICES LLC | WINCH FINANCIAL | WINCH ADVISORY SERVICES, LLC

CRD#: 110194 / SEC#: 801-55488

RIA

Registered Investment Advisory firm - (4/30/1998 Approved)

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Contact information

Main Address

424 E. Wisconsin Avenue, Appleton, WI 54911

Mailing Address

Phone number

(920) 739-8577

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINCH ADVISORY SERVICES ADV PART 2A (3/3/2026)

Regulatory assets under management

Total Number of Accounts	2,323
AUM (Assets Under Management)	$ 580,178,144

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

Samuel R. Winch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Ronald Winch's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINCH FINANCIAL

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

WINCH FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2006

Series 63

Date: 12/10/1999

Series 7

Date: 10/18/1999

Series 24

Date: 2/1/2002

Current Firm

WINCH FINANCIAL

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINCH FINANCIAL

TRUST BUT VERIFY

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