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ROBERT HOWARD WINSTON
ROBET HOWARD WINTSON
CRD#: 1512285
IA
B
MORGAN STANLEYCRD#: 149777 5796 Armada Drive
Suite 200
Carlsbad, CA 92008
Suite 200
Carlsbad, CA 92008
0
Disclosures
38
Years of Experience
View By:
State Registrations
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California 6/1/2009
B
New Jersey 1/3/2011
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California 6/1/2009
B
New Mexico 6/1/2009
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Delaware 6/1/2009
B
Oklahoma 9/23/2022
B
Florida 2/29/2012
B
Oregon 6/1/2009
B
Hawaii 8/6/2014
B
Pennsylvania 6/21/2017
B
Illinois 6/1/2009
B
Tennessee 3/23/2016
B
Kentucky 3/24/2021
B
Texas 6/1/2009
B
Michigan 11/17/2022
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Texas 6/1/2009
B
Missouri 5/6/2011
B
Washington 6/23/2020
SRO Registrations
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | LA JOLLA, CA | |
B | 04/02/2007 - 06/01/2009 | LA JOLLA, CA | |
IA | 03/24/2006 - 04/02/2007 | LAJOLLA, CA | |
B | 03/24/2006 - 04/02/2007 | LAJOLLA, CA | |
IA | 07/08/1997 - 04/10/2006 | LAJOLLA, CA | |
B | 07/31/1993 - 04/10/2006 | LAJOLLA, CA | |
B | 03/09/1987 - 07/31/1993 | NEW YORK, NY | |
B | 08/27/1986 - 01/23/1987 | ||
B | 07/09/1986 - 09/08/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.