Scott W. Winter
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.
Scott Warren Winter, who also goes by Scott W Winter, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1976. Scott had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2012 - December 7, 2016
FUSION ANALYTICS SECURITIES LLC
September 1, 2010 - November 29, 2010
HAPOALIM SECURITIES USA, INC.
October 5, 2009 - January 19, 2010
MERIDIAN EQUITY PARTNERS, INC.
June 3, 2002 - November 20, 2008
BGC FINANCIAL, L.P.
July 3, 2000 - January 3, 2002
TRADITION SECURITIES AND DERIVATIVES LLC
November 5, 1998 - July 3, 2000
ASIEL & CO. LLC
July 25, 1996 - March 18, 1998
RODMAN & RENSHAW INC.
June 11, 1994 - March 23, 1995
CEDAR STREET SECURITIES CORP.
November 2, 1992 - June 1, 1994
KEANE SECURITIES CO., INC.
August 18, 1987 - November 30, 1990
ABN AMRO SECURITIES LLC
April 5, 1984 - April 6, 1987
WECHSLER & CO., INC.
August 16, 1983 - February 6, 1984
WALSH, GREENWOOD & CO.
August 29, 1980 - July 13, 1983
WECHSLER & CO., INC.
December 1, 1976 - August 18, 1980
ASIEL & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/10/1998
Limited Representative-Equity Trader ExamCurrent Firm
FUSION ANALYTICS SECURITIES LLC
CRD#: 124245 / SEC#: , 8-65649
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
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.
