Thomas V. Winkler

THORNBURG INVESTMENT MANAGEMENT

Mount Pleasant, SC

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CRD#: 4850014

Professional summary

Thomas Vincent Winkler, CIMA®, who also goes by Tom Winkler, is a registered financial advisor currently at THORNBURG INVESTMENT MANAGEMENT INC located in Mount Pleasant, South Carolina and THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Winkler

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.

Effective 9/5/17 - Principal agent of Tolwin Properties, LLC - inactive LLC. No active responsibilities. 0 hrs devoted to this activity. Effective June 15, 2017, Partner at Bubbles & Blessings, LLC - no active responsibilities, 0 hrs are devoted to this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Vincent Winkler'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 24, 2025 - Present

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

Mount Pleasant, SC

Current

April 3, 2025 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506

CRD#: 14857

Santa Fe, NM

Past

January 28, 2015 - March 7, 2025

HARTFORD FUNDS

RIA

CRD#: 147746

Mount Pleasant, SC

Past

January 22, 2014 - December 31, 2014

HARTFORD FUNDS

RIA

CRD#: 147746

MOUNT PLEASANT, SC

Past

July 15, 2013 - March 7, 2025

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

WAYNE, PA

Past

September 18, 2008 - July 2, 2013

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

October 28, 2005 - August 28, 2008

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

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".

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 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.

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

New Mexico
(4/3/2025)

IAR

New Mexico
(4/24/2025)

South Carolina
(4/3/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/17/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/27/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

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Contact information

Main Address

2300 North Ridgetop Road, Santa Fe, NM 87506

Mailing Address

Phone number

(505) 467-7283

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE MARCH 31, 2022 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	705
AUM (Assets Under Management)	$ 45,288,445,586

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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Firm Stability Insights

Thomas V. Winkler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Vincent Winkler's CRS (Customer Relationship Summary).

Certified licenses

Experience

THORNBURG SECURITIES LLC

HARTFORD FUNDS

HARTFORD FUNDS

HARTFORD FUNDS DISTRIBUTORS, LLC

NORTHERN TRUST SECURITIES, INC.

GUGGENHEIM DISTRIBUTORS, LLC

Primary Firm SEC Registration

THORNBURG INVESTMENT MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/17/2014

Series 63

Date: 8/29/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/27/2005

FINRA

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THORNBURG INVESTMENT MANAGEMENT INC

TRUST BUT VERIFY

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