EW
Erin E. Winchester
ICONIQ CAPITAL
San Francisco, CA 94105
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CRD#: 7149479
EW
Professional summary
Erin E Winchester, who also goes by Erin Elizabeth Winchester, is a registered financial advisor currently at ICONIQ CAPITAL, LLC located in San Francisco, California.
Erin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Erin has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erin Elizabeth Winchester
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Erin E Winchester'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
August 2, 2021 - Present
ICONIQ CAPITAL, LLC
Office #1: 50 Beale St. Ste 2300, San Francisco, CA 94105RIA
CRD#: 159198
San Francisco, CA
Past
August 13, 2019 - May 20, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
New York, NY
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".
IC
ICONIQ CAPITAL, LLC
ICONIQ CAPITAL | ICQ OPPORTUNITIES GP, L.P. (RELYING ADVISER) | ICQ MANAGEMENT, LLC (RELYING ADVISER) | ICQ ETHOS GP, L.P. (RELYING ADVISER) | ICQ CS GP, L.P. (RELYING ADVISER) | ICQ CPE I GP, LLC (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS III GP, L.P. (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS II GP, L.P. (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS | ICONIQ STRATEGIC MANAGEMENT | ICONIQ CAPITAL, LLC | ICONIQ CAPITAL GROUP
CRD#: 159198 / SEC#: 801-72878
RIA
Registered Investment Advisory firm - (12/1/2011 Approved)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
California(8/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/13/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
IC
ICONIQ CAPITAL, LLC
ICONIQ CAPITAL | ICQ OPPORTUNITIES GP, L.P. (RELYING ADVISER) | ICQ MANAGEMENT, LLC (RELYING ADVISER) | ICQ ETHOS GP, L.P. (RELYING ADVISER) | ICQ CS GP, L.P. (RELYING ADVISER) | ICQ CPE I GP, LLC (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS III GP, L.P. (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS II GP, L.P. (RELYING ADVISER) | ICONIQ STRATEGIC PARTNERS | ICONIQ STRATEGIC MANAGEMENT | ICONIQ CAPITAL, LLC | ICONIQ CAPITAL GROUP
CRD#: 159198 / SEC#: 801-72878
RIA
Registered Investment Advisory firm - (12/1/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
50 Beale St. Ste 2300, San Francisco, CA 94105
Mailing Address
P.o. Box 2929, San Francisco, CA 94126-2929
Phone number
(415) 967-7763
Established
Firm type
Fiscal year end
# of Employees
463
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,537 |
| AUM (Assets Under Management) | $ 95,050,705,302 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 01/25/2024 | ||
| 02/23/2023 |
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.
