Winston C. Pitman
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.
Winston Charles Pitman was a registered financial professional .
Winston is a previously registered financial professional and started their career in finance in 1978. Winston had worked at 6 firms and has passed the Series 63, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 1990 - March 19, 1991
FEDERATION FOR FINANCIAL INDEPENDENCE
February 24, 1987 - April 3, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 10, 1986 - February 10, 1987
NIES/BRAUER SECURITIES, INC.
August 23, 1983 - March 28, 1990
MERRICO INVESTMENTS CORPORATION
June 20, 1982 - August 29, 1983
FIRST PARK EQUITIES, INC.
January 3, 1978 - May 28, 1982
WZW FINANCIAL SERVICES, INC.
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 40
Date: 9/28/1978
Registered Principal ExaminationCurrent Firm
FEDERATION FOR FINANCIAL INDEPENDENCE
CRD#: 13355 / SEC#: , 8-29081
Contact information
Documents
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.
