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Malcolm Alexander Winks

PAULSON INVESTMENT COMPANY
Chicago, IL
·CRD# 5153752·15 years experience

Professional Summary

Malcolm Alexander Winks is a registered financial advisor currently at PAULSON INVESTMENT COMPANY LLC located in Chicago, Illinois and JWTT, LLC located in Hazlet, New Jersey. Malcolm is registered as a RR (Registered Representative) and started their career in finance in 2011. Malcolm has worked at 5 firms and has passed the Series 66, Series 57TO, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

15 years in the financial services industry

Current & Past Employments

PAULSON INVESTMENT COMPANY LLC·CRD# 5670
BD
1. 8770 W Bryn Mawr Av Suite 1300, Chicago, IL 606312. 9171 Wilshire Blvd. Ste. 500, Beverly Hills, CA 90210
June 22, 2015 - Present
JWTT, LLC·CRD# 299410
BD
1. 12 Crown Plaza Suite 201-a, Hazlet, NJ 077302. 12 Crown Plaza Suite 201-a, Hazlet, NJ 07730
October 20, 2025 - Present
T3 TRADING GROUP, LLC·CRD# 154431
BD
New York, NY
November 7, 2014 - June 26, 2015
WTS PROPRIETARY TRADING GROUP LLC·CRD# 148117
BD
New York, NY
September 30, 2014 - November 7, 2014
ADVANCED EQUITIES, INC.·CRD# 35545
RIA
Chicago, IL
January 24, 2012 - November 20, 2012
ADVANCED EQUITIES, INC.·CRD# 35545
BD
Chicago, IL
July 18, 2011 - November 20, 2012

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Current Firm

JL
JWTT, LLC

JWTT INC. | JWTT, LLC

CRD#: 299410 / SEC#: 8-70242
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Contact Information

Main Address

12 Crown Plaza Suite 201-a, Hazlet, NJ 07730

Mailing Address

12 Crown Plaza Suite 201-a, Hazlet, NJ 07730

Phone Number

(971) 323-0700

Established

Delaware since 05/01/2026

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (44 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PAULSON CAPITAL HOLDING COMPANY, LLCOWNER—
CLARK, CHRISTOPHER STEVENDIRECTOR1952666
INGRASSIA, ALBERTCEO2420276
PARIGIAN, THOMAS STEWARTDIRECTOR1398840
SETTEDUCATI, ROBERT JOSEPHDIRECTOR1352722
SORRENTINO, RICHARD ANTHONYCHIEF COMPLIANCE OFFICER430898
WINKS, MALCOLM ALEXANDERCFO, FINOP5153752

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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.

The advisor shows no other business activity.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(1/2/2019)
RR
Alaska
(1/2/2019)
RR
Arizona
(1/2/2019)
RR
Arkansas
(1/2/2019)
RR
California
(1/2/2019)
RR
Colorado
(1/2/2019)
RR
Connecticut
(1/2/2019)
RR
Delaware
(1/2/2019)
RR
District of Columbia
(1/2/2019)
RR
Florida
(1/2/2019)
RR
Georgia
(1/2/2019)
RR
Hawaii
(1/2/2019)
RR
Idaho
(1/2/2019)
RR
Illinois
(7/22/2015)
RR
Indiana
(1/2/2019)
RR
Iowa
(1/2/2019)
RR
Kansas
(1/2/2019)
RR
Kentucky
(1/2/2019)
RR
Louisiana
(1/2/2019)
RR
Maine
(1/2/2019)
RR
Maryland
(1/2/2019)
RR
Massachusetts
(1/2/2019)
RR
Michigan
(1/2/2019)
RR
Minnesota
(1/2/2019)
RR
Mississippi
(1/2/2019)
RR
Missouri
(1/2/2019)
RR
Montana
(1/2/2019)
RR
Nebraska
(1/2/2019)
RR
Nevada
(1/2/2019)
RR
New Hampshire
(1/2/2019)
RR
New Jersey
(1/2/2019)
RR
New Mexico
(1/2/2019)
RR
New York
(1/2/2019)
RR
North Carolina
(1/2/2019)
RR
North Dakota
(1/2/2019)
RR
Ohio
(1/3/2019)
RR
Oklahoma
(1/2/2019)
RR
Oregon
(1/2/2019)
RR
Pennsylvania
(1/2/2019)
RR
Puerto Rico
(1/2/2019)
RR
Rhode Island
(1/2/2019)
RR
South Carolina
(1/2/2019)
RR
South Dakota
(1/2/2019)
RR
Tennessee
(1/2/2019)
RR
Texas
(12/5/2018)
RR
Utah
(1/2/2019)
RR
Vermont
(1/2/2019)
RR
Virgin Islands
(1/2/2019)
RR
Virginia
(1/2/2019)
RR
Washington
(1/2/2019)
RR
West Virginia
(1/2/2019)
RR
Wisconsin
(1/2/2019)
RR
Wyoming
(1/2/2019)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2011About the Series 66 exam

Series 57TO — Securities Trader Exam

Passed Jul 2024About the Series 57TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2011About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2018About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Jun 2015About the Series 27 exam
FINRA
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Malcolm Alexander Winks's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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