Kevin M. Winters

FLATROCK WEALTH PARTNERS LLC

Newport Beach, CA 92660

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CRD#: 3277677

Professional summary

Kevin Michael Winters, CFP®, CIMA®, who also goes by Kevin M Winters, is a registered financial advisor currently at FLATROCK WEALTH PARTNERS LLC located in Newport Beach, California.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kevin has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin M Winters

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.

1. On an interim and transitional basis, Mr. Winters also works as a Consultant Pacific Investment Management Company LLC and PIMCO Investments LLC. 2. Mr. Winters is a Co-General Partner in Acqua Fria LLC, a private real estate LLC. Passive role.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Winters'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®

CFP^®

Certified Financial Planner

Start date: 2009

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 26, 2022 - Present

FLATROCK WEALTH PARTNERS LLC

Office #1: 1301 Dove Street Suite 910, Newport Beach, CA 92660

RIA

CRD#: 321777

Newport Beach, CA

Past

February 14, 2011 - September 12, 2022

PIMCO INVESTMENTS LLC

CRD#: 154957

NEWPORT BEACH, CA

Past

September 5, 2006 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEWPORT BEACH, CA

Past

December 15, 2004 - August 28, 2006

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

SAN CLEMENTE, CA

Past

December 15, 2004 - August 28, 2006

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

June 10, 2003 - December 1, 2004

TCW INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 106546

LOS ANGELES, CA

Past

April 4, 2001 - December 3, 2004

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

LOS ANGELES, CA

Past

October 6, 1999 - February 2, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

FLATROCK WEALTH PARTNERS LLC

CRD#: 321777 / SEC#: 801-130991

RIA

Registered Investment Advisory firm - (8/26/2024 Approved)

Arizona

Registered Investment Advisory firm - (8/29/2024 Terminated)

California

Registered Investment Advisory firm - (9/28/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(8/26/2022)

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: 4/16/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/4/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/9/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 11/24/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/4/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/2011

General Securities Principal Examination

Current Firm

FLATROCK WEALTH PARTNERS LLC

CRD#: 321777 / SEC#: 801-130991

RIA

Registered Investment Advisory firm - (8/26/2024 Approved)

Arizona

Registered Investment Advisory firm - (8/29/2024 Terminated)

California

Registered Investment Advisory firm - (9/28/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2024 Terminated)

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Contact information

Main Address

1301 Dove Street Suite 910, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 687-2615

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FLATROCK DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/18/2025)

Regulatory assets under management

Total Number of Accounts	306
AUM (Assets Under Management)	$ 232,393,872

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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Advisor Monitoring

Firm Stability Insights

Kevin M. Winters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Winters's CRS (Customer Relationship Summary).

Certified licenses

Experience

PIMCO INVESTMENTS LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

ALLIANCEBERNSTEIN L.P.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

TCW INVESTMENT MANAGEMENT COMPANY LLC

TCW FUNDS DISTRIBUTORS LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

FLATROCK WEALTH PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2003

Series 63

Date: 11/4/1999

SIE

Date: 10/1/2018

Series 3

Date: 10/9/2006

Series 31

Date: 11/24/1999

Series 7

Date: 10/4/1999

Series 24

Date: 12/23/2011

Current Firm

FLATROCK WEALTH PARTNERS LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FLATROCK WEALTH PARTNERS LLC

TRUST BUT VERIFY

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