JW
John S. Winn
RUBICON ADVISORS
Redding, CA 96001
Some features on this profile are disabled
CRD#: 5525954
JW
Professional summary
John Stuart Winn, who also goes by John Winn, is a registered financial advisor currently at RUBICON ADVISORS located in Redding, California and LPL FINANCIAL LLC located in Chico, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. John has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Winn
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.
1. 5/23/2017 - RUBICON ADVISORS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 05/16/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 6/2/2017 - Rubicon Advisors, GP - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 05/16/2017 - 160 Hours Per Month During Securities Trading - Time Spent 100% - I provide investment advisory services through RUBICON ADVISORS, GP, an independent investment advisor firm. I started this business activity in 05/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 1/7/2021 - Winn Financial and Tax Services - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Tax Preparer / Owner - Started 12/28/2020 - 16 Hours Per Month/0 Hours During Securities Trading. 4. 10/28/2021 - Winn Financial and Tax Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/07/2021 - 16 Hours Per Month/40 Hours During Securities Trading. 5. 10/28/2021 - Winn Financial Services, LLC - Not Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Tax Preparer / Owner - Started 12/28/2020 - 16 Hours Per Month/0 Hours During Securities Trading. 6. 04/11/2022 - Winn Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 04/05/2022 -16 Hours Per Month/ 0 Hours During Securities Trading 7. 06/29/2023 - Ducks Unlimited - Not Investment Related - Redding, CA - Non-Profit Board Member - Start Date 07/01/2023 - 4 Hours Per Month/ 0 Hours During Securities Trading 8. 10/04/2023 - Kindred Capital Partners - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/01/2024 - 1 Hour Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view John Stuart Winn'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®
NoneExperience
Current
May 24, 2017 - Present
RUBICON ADVISORS
Office #1: 1260 Pine Street, Redding, CA 96001RIA
CRD#: 174447
Redding, CA
Current
May 23, 2017 - Present
LPL FINANCIAL LLC
Office #1: 550 Salem St, Chico, CA 95928Office #2: 1260 Pine Street, Redding, CA 96001Office #3: 1640 E Cypress Avenue, Redding, CA 96002Office #4: 1380 Hilltop Dr, Redding, CA 96003RIA
BD
CRD#: 6413
Chico, CA
Past
April 1, 2014 - May 25, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PARADISE, CA
Past
March 31, 2014 - May 25, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PARADISE, CA
Past
November 15, 2012 - April 1, 2014
EDWARD JONES
RIA
CRD#: 250
CHICO, CA
Past
October 24, 2012 - April 1, 2014
EDWARD JONES
BD
CRD#: 250
CHICO, CA
Past
October 27, 2010 - July 30, 2012
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
EUREKA, CA
Past
June 14, 2010 - October 12, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
REDDING, CA
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".
RA
RUBICON ADVISORS
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP
CRD#: 174447 / SEC#: 801-109012
RIA
Registered Investment Advisory firm - (1/27/2017 Approved)Arizona
Registered Investment Advisory firm - (2/8/2017 Terminated)California
Registered Investment Advisory firm - (3/10/2017 Terminated)Idaho
Registered Investment Advisory firm - (2/8/2017 Terminated)New York
Registered Investment Advisory firm - (2/8/2017 Terminated)Washington
Registered Investment Advisory firm - (2/8/2017 Terminated)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.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(1/24/2020)
RR
Arizona(1/24/2020)
RR
California(5/23/2017)
IAR
California(5/24/2017)
RR
Colorado(1/24/2020)
RR
Hawaii(1/9/2024)
RR
Idaho(12/23/2021)
RR
Michigan(1/24/2020)
RR
Nevada(7/1/2019)
RR
Oregon(4/12/2019)
RR
Pennsylvania(1/24/2020)
RR
Tennessee(10/18/2024)
RR
Texas(1/24/2020)
IAR
Texas(9/10/2021)
RR
Utah(5/23/2017)
RR
Washington(8/7/2017)
RR
Wisconsin(2/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RA
RUBICON ADVISORS
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP
CRD#: 174447 / SEC#: 801-109012
RIA
Registered Investment Advisory firm - (1/27/2017 Approved)Arizona
Registered Investment Advisory firm - (2/8/2017 Terminated)California
Registered Investment Advisory firm - (3/10/2017 Terminated)Idaho
Registered Investment Advisory firm - (2/8/2017 Terminated)New York
Registered Investment Advisory firm - (2/8/2017 Terminated)Washington
Registered Investment Advisory firm - (2/8/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1640 East Cypress Suite A, Redding, CA 96002
Mailing Address
Phone number
(530) 223-5357
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,015 |
| AUM (Assets Under Management) | $ 340,182,241 |
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.
