RW
Richard K. Winters
WINTERS FINANCIAL GROUP
Westlake Village, CA 91361
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CRD#: 4047376
RW
Professional summary
Richard Kevin Winters, who also goes by Rick Kevin Winters, is a registered financial advisor currently at WINTERS FINANCIAL GROUP, INC. located in Westlake Village, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Kevin 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.) OWN REAL ESTATE - 1/1/2009 - 2659 Townsgate Road, Suite 213, Westlake Village, CA 91361 - Landlord, Own investment real estate, Not Invt Rel, Investment real estate business, 1 hr/mo; 1 hr/mo (during trading hours). 2.) WINTERS FINANCIAL GROUP - 1/15/2021 - 2659 Townsgate Road, Suite 213, Westlake Village, CA 91361 - Financial Advisor, Help clients develop and monitor long term financial plans, Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 3.) INDEPENDENT INSURANCE AGENT - 1/22/21 -2659 Townsgate Road, Suite 213, Westlake Village, CA 91361 - Financial Advisor, Help clients with life, DI and LTC insurance needs, Not Invt Rel, Insurance business, 10 hrs/mo; 10 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Richard Kevin Winters's 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®
NoneExperience
Current
October 15, 2020 - Present
WINTERS FINANCIAL GROUP, INC.
Office #1: 2659 Townsgate Rd. #213, Westlake Village, CA 91361RIA
CRD#: 309549
Westlake Village, CA
Current
April 1, 2021 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
April 25, 2016 - June 11, 2021
PROFESSIONAL PLANNING
RIA
CRD#: 109561
THOUSAND OAKS, CA
Past
April 25, 2016 - April 22, 2021
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
Thousand Oaks, CA
Past
January 29, 2010 - November 22, 2016
WEALTHCARE ALLIANCE, INC.
RIA
CRD#: 127470
WESTLAKE VILLAGE, CA
Past
September 12, 2007 - December 31, 2009
WEALTHCARE ALLIANCE, INC.
RIA
CRD#: 127470
WESTLAKE VILLAGE, CA
Past
May 24, 2007 - April 27, 2016
OSAIC WEALTH, INC.
BD
CRD#: 23131
WESTLAKE VILLAGE, CA
Past
May 9, 2001 - January 12, 2006
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 8, 2000 - April 27, 2001
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
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".
WF
WINTERS FINANCIAL GROUP, INC.
WINTERS FINANCIAL GROUP, INC.
CRD#: 309549 / SEC#: 801-121556
RIA
Registered Investment Advisory firm - (7/1/2021 Approved)California
Registered Investment Advisory firm - (9/4/2021 Terminated)Texas
Registered Investment Advisory firm - (8/5/2021 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/1/2021)
IAR
Arizona(11/15/2021)
RR
Arkansas(4/1/2021)
IAR
California(10/15/2020)
RR
California(4/1/2021)
RR
Colorado(4/1/2021)
RR
District of Columbia(1/3/2022)
RR
Georgia(4/1/2021)
RR
Idaho(4/1/2021)
RR
Minnesota(1/3/2022)
RR
Nevada(4/1/2021)
RR
New Mexico(4/1/2021)
RR
New York(1/3/2022)
RR
North Carolina(1/3/2022)
RR
Oklahoma(1/3/2022)
RR
Oregon(4/1/2021)
RR
Pennsylvania(1/3/2022)
RR
Rhode Island(1/3/2022)
RR
South Carolina(4/1/2021)
RR
Tennessee(4/1/2021)
RR
Texas(4/1/2021)
IAR
Texas(4/6/2021)
RR
Utah(1/3/2022)
RR
Virginia(4/1/2021)
RR
Washington(4/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WINTERS FINANCIAL GROUP, INC.
WINTERS FINANCIAL GROUP, INC.
CRD#: 309549 / SEC#: 801-121556
RIA
Registered Investment Advisory firm - (7/1/2021 Approved)California
Registered Investment Advisory firm - (9/4/2021 Terminated)Texas
Registered Investment Advisory firm - (8/5/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2659 Townsgate Rd. #213, Westlake Village, CA 91361
Mailing Address
Phone number
(805) 497-1717
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 250 |
| AUM (Assets Under Management) | $ 202,293,721 |
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.
Company Information
WINTERS FINANCIAL GROUP, INC.
CRD#: 309549Westlake Village, CA 91361TRUST BUT VERIFY
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