WG
Winston B. Gaffron
DELTA INVESTMENT MANAGEMENT
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 7273855
WG
Professional summary
Winston Bromley Gaffron III is a registered financial advisor currently at DELTA INVESTMENT MANAGEMENT, LLC located in San Francisco, California.
Winston is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Winston has worked at 1 firm and has passed the Series 65 exam.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Winston Bromley Gaffron III'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
July 6, 2020 - Present
DELTA INVESTMENT MANAGEMENT, LLC
Office #1: 708 Montgomery Street, San Francisco, CA 94111RIA
CRD#: 149596
San Francisco, 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".
DI
DELTA INVESTMENT MANAGEMENT, LLC
DELTA INVESTMENT MANAGEMENT, LLC | VANCLEF FINANCIAL GROUP | URA GROUP AZ L.L.C. | RAIL-SPLITTER CAPITAL MANAGEMENT | PK WEALTH MANAGEMENT | OPEN SOURCE CAPITAL MANAGEMENT | NORTHSTAR FINANCIAL & RETIREMENT PLANNING, LLC | INTEGRATED FINANCIAL SOLUTIONS GROUP
CRD#: 149596 / SEC#: 801-114006
RIA
Registered Investment Advisory firm - (9/19/2018 Approved)California
Registered Investment Advisory firm - (11/13/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/19/2018 Terminated)Nevada
Registered Investment Advisory firm - (11/29/2018 Terminated)Texas
Registered Investment Advisory firm - (10/14/2018 Terminated)Washington
Registered Investment Advisory firm - (10/21/2018 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.Highlighted states indicate IAR registrations
IAR
California(7/6/2020)
Current Firm
DI
DELTA INVESTMENT MANAGEMENT, LLC
DELTA INVESTMENT MANAGEMENT, LLC | VANCLEF FINANCIAL GROUP | URA GROUP AZ L.L.C. | RAIL-SPLITTER CAPITAL MANAGEMENT | PK WEALTH MANAGEMENT | OPEN SOURCE CAPITAL MANAGEMENT | NORTHSTAR FINANCIAL & RETIREMENT PLANNING, LLC | INTEGRATED FINANCIAL SOLUTIONS GROUP
CRD#: 149596 / SEC#: 801-114006
RIA
Registered Investment Advisory firm - (9/19/2018 Approved)California
Registered Investment Advisory firm - (11/13/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/19/2018 Terminated)Nevada
Registered Investment Advisory firm - (11/29/2018 Terminated)Texas
Registered Investment Advisory firm - (10/14/2018 Terminated)Washington
Registered Investment Advisory firm - (10/21/2018 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
708 Montgomery Street, San Francisco, CA 94111
Mailing Address
204 E. 2nd Avenue, #906, San Mateo, CA 94401
Phone number
(415) 249-6337
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,625 |
| AUM (Assets Under Management) | $ 770,787,222 |
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.
