WV
Winston C. Ventura
SAGEVIEW ADVISORY GROUP
San Diego, CA 92121
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CRD#: 5991644
WV
Professional summary
Winston C Ventura is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in San Diego, California and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.
Winston is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Winston has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE START DATE: 05/2023 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: ADVISOR - ADVISORY BUSINESS, 401(K) PARTICIPANT EDUCATION, FINANCIAL PLANNING, ASSET MANAGEMENT 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2014 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE 3. NAME OF OTHER BUSINESS: WINSTON VENTURA INC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SCORP FOR ACCOUNTING PURPOSES START DATE: 10/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: SCORP FOR CURRENT 1099 ADVISORY/BROKERAGE REVENUE
CRS (Client Relationship Summary) - RIA
Click below to view Winston C Ventura'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 9, 2023 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 9920 Pacific Heights Blvd #150, San Diego, CA 92121RIA
CRD#: 126777
San Diego, CA
Current
June 28, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4000 Mac Arthur Blvd, Suite 1050, Newport Beach, CA 92660BD
CRD#: 13572
Newport Beach, CA
Past
January 2, 2019 - May 5, 2023
TRIAD ADVISORS LLC
BD
CRD#: 25803
San Diego, CA
Past
December 5, 2018 - July 10, 2023
ONEDIGITAL
RIA
CRD#: 106766
San Diego, CA
Past
January 31, 2014 - December 31, 2018
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
SAN DIEGO, CA
Past
April 25, 2013 - December 31, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, 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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 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
Arizona(6/28/2023)
IAR
California(5/10/2023)
RR
California(6/28/2023)
IAR
Colorado(5/10/2023)
RR
Florida(9/4/2025)
RR
Georgia(6/28/2023)
IAR
Hawaii(5/15/2023)
RR
Hawaii(6/28/2023)
IAR
Idaho(5/10/2023)
IAR
Kansas(5/11/2023)
RR
Maine(6/29/2023)
IAR
Maryland(5/9/2023)
IAR
Nevada(5/12/2023)
IAR
New York(5/10/2023)
IAR
North Carolina(5/23/2023)
RR
North Carolina(10/2/2025)
IAR
Oregon(5/12/2023)
RR
Oregon(7/6/2023)
IAR
Pennsylvania(5/10/2023)
IAR
South Carolina(5/17/2023)
IAR
Texas(5/10/2023)
RR
Texas(6/28/2023)
IAR
Washington(7/26/2023)
IAR
Wisconsin(5/16/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
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.
