Robert J. Winslow
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.
Robert John Winslow, who also goes by Bob Winslow, Robert Winslow, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2009. Robert had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2014 - June 29, 2015
OSAIC INSTITUTIONS, INC.
February 20, 2014 - June 29, 2015
OSAIC INSTITUTIONS, INC.
September 9, 2013 - February 20, 2014
GROVE POINT INVESTMENTS, LLC
September 9, 2013 - February 20, 2014
GROVE POINT INVESTMENTS, LLC
September 21, 2012 - August 21, 2013
MSI FINANCIAL SERVICES, INC.
April 13, 2011 - August 21, 2013
WALNUT STREET SECURITIES, INC.
April 13, 2011 - August 21, 2013
TOWER SQUARE SECURITIES, INC.
April 13, 2011 - August 21, 2013
NEW ENGLAND SECURITIES
April 13, 2011 - August 21, 2013
MSI FINANCIAL SERVICES, INC.
April 7, 2011 - August 21, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
June 7, 2010 - February 11, 2011
ESSEX NATIONAL SECURITIES, LLC
May 28, 2010 - February 11, 2011
ESSEX NATIONAL SECURITIES, LLC
July 28, 2009 - June 2, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
May 5, 2009 - June 2, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
