Juergens O. Winkler
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.
Juergens Otto Winkler, who also goes by Jerry Winkler, was a registered financial professional .
Juergens is a previously registered financial professional and started their career in finance in 1973. Juergens had worked at 6 firms and has passed the Series 63, Series 5, Series 000, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 1991 - July 7, 1992
JW GENESIS CLEARING CORP.
August 14, 1986 - May 14, 1991
UBS FINANCIAL SERVICES INC.
December 5, 1984 - August 11, 1986
MABON, NUGENT & CO.
August 9, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 8, 1974 - January 15, 1976
SHEARSON HAYDEN STONE INC.
January 15, 1973 - November 8, 1974
HAYDEN STONE INC.
January 6, 1973 - December 5, 1984
UBS FINANCIAL SERVICES 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 5
Date: 11/13/1981
Interest Rate Options ExaminationSeries 000
Date: 1/6/1973
General Securities Principal ExaminationSeries 1
Date: 1/6/1973
Registered Representative ExaminationSeries 8
Date: 4/12/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JW GENESIS CLEARING CORP.
CRD#: 6631 / SEC#: , 8-17907
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
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