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JW

John C. Winthrop

HUNTINGTON SECURITIES
Chicago, IL 60601
Some features on this profile are disabled
CRD#: 4846755
JW

Professional summary

John Cooper Winthrop, CIMA®, who also goes by John Cooper Winthrop, John Winthrop, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 2004. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Cooper Winthrop | John Winthrop

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.
STERLING CAPITAL MANAGEMENT, LLC, CHARLOTTE, NC. INVESTMENT RELATED. START DATE 3/2013. Senior Client Strategist-Health/Executive Director. 160 HOURS/MONTH ALL DURING SECURITY TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Cooper Winthrop's 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®
CIMA®

Certified Investment Management Analyst

Experience

Current

August 21, 2025 - Present

HUNTINGTON SECURITIES, INC.

Office #1: 222 North Lasalle Street Suite 1200, Chicago, IL 60601
BD
CRD#: 2261
Chicago, IL
Past

April 17, 2013 - July 10, 2025

STERLING CAPITAL MANAGEMENT LLC

RIA
CRD#: 135405
DOWNERS GROVE, IL
Past

March 21, 2013 - July 8, 2025

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
PORTLAND, ME
Past

June 17, 2010 - March 13, 2013

AMG FUNDS LLC

RIA
CRD#: 153456
STAMFORD, CT
Past

January 11, 2010 - June 18, 2010

AMG DISTRIBUTORS, INC.

RIA
CRD#: 27314
CHICAGO, IL
Past

January 11, 2010 - March 13, 2013

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
CHICAGO, IL
Past

September 14, 2007 - December 12, 2008

WILLIAM BLAIR

RIA
CRD#: 1252
CHICAGO, IL
Past

July 17, 2007 - December 12, 2008

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

June 30, 2006 - March 9, 2007

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CHICAGO, IL
Past

October 12, 2004 - April 18, 2006

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/21/2025)
RR
Arizona
(8/21/2025)
RR
Arkansas
(8/21/2025)
RR
California
(8/21/2025)
RR
Colorado
(8/21/2025)
RR
Connecticut
(8/21/2025)
RR
Florida
(8/21/2025)
RR
Illinois
(8/21/2025)
RR
Indiana
(8/21/2025)
RR
Kentucky
(8/21/2025)
RR
Louisiana
(8/21/2025)
RR
Massachusetts
(8/21/2025)
RR
Michigan
(8/21/2025)
RR
Missouri
(8/21/2025)
RR
Montana
(8/21/2025)
RR
New Jersey
(8/21/2025)
RR
New Mexico
(8/21/2025)
RR
New York
(8/21/2025)
RR
North Carolina
(8/21/2025)
RR
Ohio
(8/22/2025)
RR
Oregon
(8/21/2025)
RR
Pennsylvania
(8/21/2025)
RR
Rhode Island
(8/21/2025)
RR
Tennessee
(8/21/2025)
RR
Texas
(8/21/2025)
RR
Utah
(8/21/2025)
RR
Virginia
(8/21/2025)
RR
West Virginia
(8/21/2025)
RR
Wisconsin
(8/21/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/13/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/22/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/11/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HUNTINGTON SECURITIES, INC.
HUNTINGTON CAPITAL MARKETS | HUTCHINSON, SHOCKEY, ERLEY & CO. | HUTCHINSON SHOCKEY ERLEY | HUNTINGTON SECURITIES, INC.

CRD#: 2261 / SEC#: , 8-5761

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
41 South High St, Columbus, OH 43287
Mailing Address
41 South High St, Columbus, OH 43287
Phone number
(312) 443-1560
Established
Delaware since 02/08/1957
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HUNTINGTON BANCSHARES INCORPORATEDDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
BORRELLI, MARK ROBERTGENERAL COUNSEL/SECRETARY6803711
COSTANZO, SAMANTHA ANNDIRECTOR4133695
DIBOWSKI, TERRAHEAD OF BROKERAGE OPERATIONS5468840
FITZSIMMONS, DAVID RAYMONDHEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR4245434
HERBERT, KATHERINE ELEANORCONTROLLER/FINOP6412263
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISPRESIDENT6419334
SZWAGULAK, JOHN W IIICHIEF COMPLIANCE OFFICER4033023
WALTHER, KATHLEENDIRECTOR7858303

Disclosures

Regulatory Event8

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.

Company Information

HUNTINGTON SECURITIES, INC.

CRD#: 2261Chicago, IL 60601

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