Charles C. Winston

CIRCLE ADVISERS

New York, NY 10170

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CRD#: 4410794

Professional summary

Charles Cortens Winston, who also goes by Skip Winston, is a registered financial advisor currently at CIRCLE ADVISERS INC located in New York, New York.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Charles has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Skip Winston

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Cortens Winston'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®

None

Experience

Current

September 14, 2021 - Present

CIRCLE ADVISERS INC

Office #1: 420 Lexington Avenue Suite 2500, New York, NY 10170

RIA

CRD#: 110818

New York, NY

Past

July 6, 2009 - March 25, 2014

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

PURCHASE, NY

Past

November 7, 2001 - January 22, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

STAMFORD, CT

Past

August 15, 2001 - January 22, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

STAMFORD, CT

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".

CIRCLE ADVISERS INC

CRD#: 110818 / SEC#: 801-18150

RIA

Registered Investment Advisory firm - (1/5/1983 Approved)

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

New York
(9/14/2021)

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 66

Date: 9/7/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/14/2001

General Securities Representative Examination

Current Firm

CIRCLE ADVISERS INC

CRD#: 110818 / SEC#: 801-18150

RIA

Registered Investment Advisory firm - (1/5/1983 Approved)

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Contact information

Main Address

420 Lexington Avenue Suite 2500, New York, NY 10170

Mailing Address

Phone number

(212) 885-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (12/26/2024)

Regulatory assets under management

Total Number of Accounts	1,184
AUM (Assets Under Management)	$ 819,802,922

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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Charles C. Winston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Cortens Winston's CRS (Customer Relationship Summary).

Certified licenses

Experience

CIRCLE ADVISERS INC

PURSHE KAPLAN STERLING INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CIRCLE ADVISERS INC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/7/2001

Series 7

Date: 8/14/2001

Current Firm

CIRCLE ADVISERS INC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CIRCLE ADVISERS INC

TRUST BUT VERIFY

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