Joseph L. Winn
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.
Joseph Lampher Winn was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2015. Joseph had worked at 8 firms and has passed the Series 63, SIE, Series 86, Series 87 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
September 5, 2025 - December 17, 2025
TSG CAPITAL ADVISORS
December 7, 2022 - January 3, 2025
DEMATTEO RESEARCH LLC
November 22, 2021 - September 30, 2022
ROSENBLATT SECURITIES INC.
September 14, 2018 - September 30, 2021
ALPS DISTRIBUTORS, INC.
July 7, 2017 - August 20, 2018
WEDBUSH SECURITIES INC.
November 14, 2016 - July 26, 2017
INSTINET, LLC
June 6, 2016 - November 14, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
August 18, 2015 - February 16, 2016
B. RILEY SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TSG CAPITAL ADVISORS
CRD#: 147509 / SEC#: , 8-67910
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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