Geoffrey J. Winters
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.
Geoffrey James Winters was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1970. Geoffrey had worked at 14 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 1991 - June 24, 1994
GRUNTAL & CO., L.L.C.
January 31, 1991 - September 13, 1991
LAIDLAW GLOBAL SECURITIES, INC.
August 17, 1989 - January 2, 1991
A. G. EDWARDS & SONS, INC.
November 11, 1988 - June 28, 1989
GRADY AND HATCH & COMPANY, INC.
April 16, 1987 - February 15, 1989
PROFESSIONAL BROKERAGE SERVICES INC.
December 24, 1985 - February 24, 1987
WEATHERLY SECURITIES CORPORATION
April 25, 1984 - October 29, 1985
ROONEY, PACE INC.
October 26, 1982 - March 26, 1984
UBS FINANCIAL SERVICES INC.
May 31, 1978 - March 1, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 24, 1977 - May 1, 1978
HAAS SECURITIES CORPORATION
November 1, 1976 - March 17, 1977
RAUSCHER PIERCE REFSNES, INC.
April 22, 1974 - February 3, 1975
REYNOLDS SECURITIES, INC.
January 3, 1973 - May 23, 1973
HAMBRECHT & QUIST LLC
September 2, 1970 - December 28, 1972
SARTORIUS & 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: 8/31/1983
AMEX Put and Call ExamSeries 1
Date: 4/25/1969
Registered Representative ExaminationCurrent Firm
GRUNTAL & CO., L.L.C.
CRD#: 372 / SEC#: , 8-31022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUNTAL FINANCIAL, L.L.C. | INTEREST HOLDER | |
| BRADLEY, RALPH HAMILTON JR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 2802958 |
| COHEN, DONALD N | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | |
| JOHNSON, ROSEMARY | DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 1515631 |
| RITTEREISER, ROBERT PETER | DIRECTOR, CHAIRMAN, CEO | 400305 |
Disclosures
| Regulatory Event | 34 |
| Arbitration | 81 |
| Bond | 2 |
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.
