Keith Anthony Winters
Professional Summary
Keith Anthony Winters, who also goes by Keith A Winters, is a registered financial advisor currently at ALVAREZ & MARSAL SECURITIES, LLC located in New York, New York. Keith is registered as a RR (Registered Representative) and started their career in finance in 1999. Keith has worked at 3 firms and has passed the Series 79TO, Series 99TO, SIE, Series 14, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Keith A Winters
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
ALVAREZ & MARSAL SECURITIES, LLC
Contact Information
Main Address
100 Park Avenue - 9th Floor, New York, NY 10017Mailing Address
100 Park Avenue - 9th Floor, New York, NY 10017Phone Number
(212) 759-4433Established
Delaware since 09/24/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (19 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Keith Anthony Winters's CRS (Customer Relationship Summary).
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