Charles S. Stoll

WINNING POINTS ADVISORS, L.L.C.

BOCA RATON, FL 33432

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CRD#: 704129

Professional summary

Charles Sutcliffe Stoll, CFP®, who also goes by Charles S Stoll, is a registered financial advisor currently at WINNING POINTS ADVISORS, L.L.C. located in Boca Raton, Florida.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Charles has worked at 6 firms and has passed the Series 63, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles S Stoll

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. 08/23/10 - OTHER-PUBLISHING, FORTUNE PRESS ET AL, 5% OF TIME SPENT. 2. 08/24/2010- NON-VARIABLE INSURANCE, I AM AN INSURANCE AGENT., CHARLES S STOLL/STOLL FINANCIAL CORP, 10%.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Sutcliffe Stoll's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

April 7, 1990 - Present

WINNING POINTS ADVISORS, L.L.C.

Office #1: 129 Nw 13th Street, Suite D-26, Boca Raton, FL 33432

RIA

CRD#: 118077

BOCA RATON, FL

Past

September 8, 2009 - May 20, 2011

LPL FINANCIAL LLC

CRD#: 6413

BOCA RATON, FL

Past

March 10, 2000 - June 4, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 8, 1989 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOCA RATON, FL

Past

June 25, 1986 - September 26, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 3, 1982 - June 4, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 31, 1980 - May 14, 1982

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

January 19, 1980 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

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".

WINNING POINTS ADVISORS, L.L.C.

CRD#: 118077 / SEC#: 801-78654

RIA

Registered Investment Advisory firm - (10/4/2013 Approved)

Florida

Registered Investment Advisory firm - (10/31/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (11/29/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(4/7/1990)

IAR

Texas
(3/28/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/14/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/23/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 1/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/1989

General Securities Principal Examination

Current Firm

WINNING POINTS ADVISORS, L.L.C.

CRD#: 118077 / SEC#: 801-78654

RIA

Registered Investment Advisory firm - (10/4/2013 Approved)

Florida

Registered Investment Advisory firm - (10/31/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (11/29/2005 Terminated)

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Contact information

Main Address

127 Nw 13th Street Suite 13, Boca Raton, FL 33432

Mailing Address

Phone number

(561) 367-9111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINNING POINTS 2A 3.21.2024 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 176,372,545

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.

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Advisor Monitoring

Firm Stability Insights

Charles S. Stoll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Sutcliffe Stoll's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LEHMAN BROTHERS INC.

MUTUAL SERVICE CORPORATION

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

Primary Firm SEC Registration

WINNING POINTS ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/14/1980

Series 5

Date: 10/23/1981

Series 7

Date: 1/19/1980

Series 24

Date: 11/27/1989

Current Firm

WINNING POINTS ADVISORS, L.L.C.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINNING POINTS ADVISORS, L.L.C.

TRUST BUT VERIFY

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