Roger J. Winston
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.
Roger Jay Winston was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1967. Roger had worked at 5 firms and has passed the Series 63, PC, Series 1, Series 000, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 1991 - February 8, 1996
HILL THOMPSON MAGID & CO., INC.
June 28, 1983 - April 22, 1991
LADENBURG THALMANN & CO. INC.
December 3, 1981 - June 13, 1983
JII SECURITIES INC.
March 8, 1972 - December 16, 1981
SCHRODER & CO. INC.
October 12, 1967 - January 25, 1972
WERTHEIM & CO.
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
PC
Date: 4/30/1977
AMEX Put and Call ExamSeries 1
Date: 1/23/1961
Registered Representative ExaminationSeries 000
Date: 1/1/1961
General Securities Principal ExaminationCurrent Firm
HILL THOMPSON MAGID & CO., INC.
CRD#: 2202 / SEC#: , 8-3761
Contact information
Documents
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
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.
