Eric M. Winokur
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eric Matthew Winokur, who also goes by Eric Matthew Wiener, was a registered financial advisor .
Eric is a previously registered financial advisor and started their career in finance in 2000. Eric had worked at 5 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2003 - August 20, 2004
INVESTORS CAPITAL CORP.
January 14, 2003 - August 20, 2004
EASTERN POINT ADVISORS INC.
November 7, 2001 - November 22, 2002
ALLSTATE FINANCIAL SERVICES, LLC
August 14, 2001 - November 19, 2001
QUICK & REILLY, INC.
January 7, 2000 - April 23, 2001
MORGAN STANLEY DW 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
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
