Timothy L. Winter

STEWARD FAMILY OFFICE

ESCONDIDO, CA 92025

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CRD#: 4877537

Professional summary

Timothy Lee Winter, CFP®, who also goes by Timothy Winter, is a registered financial advisor currently at STEWARD FAMILY OFFICE, INC. located in Escondido, California.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Timothy has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Timothy Winter

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.

I spend 1-2 hours per month working for CTJML, Inc. and am compensated for my work. This year I will receive a W-2 for $5,500 associated with the work I perform for CTJML, Inc. The type of work I perform for CTJML, Inc. is management advisory services for Steward Family Office. CTJML is not investment-related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Lee Winter'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®

CFP^®

Certified Financial Planner

Experience

Current

December 2, 2014 - Present

STEWARD FAMILY OFFICE, INC.

Office #1: 228 N Broadway, Escondido, CA 92025

RIA

CRD#: 173846

ESCONDIDO, CA

Past

November 28, 2006 - December 3, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN DIEGO, CA

Past

February 25, 2005 - November 28, 2006

MERRILL LYNCH TRUST COMPANY

RIA

CRD#: 108469

HOUSTON, TX

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.

Highlighted states indicate IAR registrations

IAR

California
(12/2/2014)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/24/2005

Uniform Investment Adviser Law Examination

Current Firm

STEWARD FAMILY OFFICE, INC.

STEWARD FAMILY OFFICE, INC. | STEWARD FAMILY OFFICE, LLC

CRD#: 173846 / SEC#: 801-80624

RIA

Registered Investment Advisory firm - (5/13/2015 Terminated)

California

Registered Investment Advisory firm - (5/12/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

228 N Broadway, Escondido, CA 92025

Mailing Address

Phone number

(858) 263-1647

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Timothy L. Winter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Lee Winter's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEWARD FAMILY OFFICE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH TRUST COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/2005

Current Firm

STEWARD FAMILY OFFICE, INC.

Contact information

Documents

Red Flags

Company Information

STEWARD FAMILY OFFICE, INC.

TRUST BUT VERIFY

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