James A. Winkler
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.
James Allen Winkler, who also goes by James Winkler, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2007. James had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2016 - March 10, 2017
SCOTTRADE INVESTMENT MANAGEMENT
August 14, 2009 - March 10, 2017
SCOTTRADE, INC.
April 15, 2008 - August 6, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
April 15, 2008 - August 6, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
September 19, 2007 - October 23, 2007
EDWARD JONES
August 24, 2007 - October 23, 2007
EDWARD JONES
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
Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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