Keith A. Winters
Professional summary
Keith Anthony Winters, who also goes by Keith A Winters, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Anthony Winters's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2007 - Present
ALVAREZ & MARSAL SECURITIES, LLC
Office #1: 600 Madison Avenue 8th Floor, New York, NY 10022Office #2: 600 Madison Ave 8th Floor, New York, NY, 10022July 20, 2000 - August 23, 2001
SANDGRAIN SECURITIES LLC
August 31, 1999 - August 1, 2000
MIDWOOD SECURITIES, INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
ALVAREZ & MARSAL SECURITIES, LLC
CRD#: 127858 / SEC#: , 8-66055
Contact information
FINRA licenses (18 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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