Unclaimed Profile

Richard Kevin Winters

WINTERS FINANCIAL GROUP, INC.·WESTLAKE VILLAGE, California

SIE, Series 7, Series 63, Series 65Clean record18 years registeredWINTERS FINANCIAL GROUP, INC.

2659 TOWNSGATE RD., WESTLAKE VILLAGE, CA 91361CRD# 4047376Firm CRD# 309549

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Kevin Winters · WESTLAKE VILLAGE, CA

Registration

CRD #4047376 · WINTERS FINANCIAL GROUP, INC. · 18 years registered

Brand Profile

Not yet started

Career History

THE LEADERS GROUP, INC.

Apr 2021 – present

WINTERS FINANCIAL GROUP, INC.

Oct 2020 – present

PROFESSIONAL PLANNING

Apr 2016 – Jun 2021

THOUSAND OAKS, CA

WEALTHCARE ALLIANCE, INC.

Jan 2010 – Nov 2016

WESTLAKE VILLAGE, CA

WEALTHCARE ALLIANCE, INC.

Sep 2007 – Dec 2009

WESTLAKE VILLAGE, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · September 12, 2007

Years registered · 18

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

WINTERS FINANCIAL GROUP, INC.

CRD 309549 · SEC 801-121556

AUM

$169M

Regulatory assets under management

Employees

550 client accounts

Services offered by WINTERS FINANCIAL GROUP, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at WINTERS FINANCIAL GROUP, INC. →

Introduction

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Frequently Asked Questions

What services does Richard Kevin Winters offer?

Richard Kevin Winters specializes in Financial Planning, Investment Management. Contact their office in WESTLAKE VILLAGE, California for a consultation.

What are Richard Kevin Winters's credentials?

Richard Kevin Winters is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Kevin Winters located?

Richard Kevin Winters is based in WESTLAKE VILLAGE, California, working with WINTERS FINANCIAL GROUP, INC.. Their office serves clients in the WESTLAKE VILLAGE metropolitan area and surrounding communities.

How does Richard Kevin Winters charge for services?

Richard Kevin Winters's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WINTERS FINANCIAL GROUP, INC.?

WINTERS FINANCIAL GROUP, INC. has approximately 3 employees and manages $169M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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