• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Richard Kevin Winters
RICK KEVIN WINTERS
CRD#: 4047376
IA
Investment Adviser
B
Broker
WINTERS FINANCIAL GROUP, INC.CRD#: 309549 2659 TOWNSGATE RD.
#213
WESTLAKE VILLAGE, CA 91361
THE LEADERS GROUP, INC.CRD#: 37157 2659 Townsgate Road, Suite 213
Westlake Village, CA 91361
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2016 - 2021 (5 years)BTHE LEADERS GROUP, INC. (CRD# 37157)2021 - Present (3 years)IAWINTERS FINANCIAL GROUP, INC. (CRD# 309549)2020 - Present (4 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2007 - 2016 (8 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2001 - 2006 (4 years)BAMERITAS INVESTMENT CORP. (CRD# 14869)2000 - 2001 (1 year)IAWEALTHCARE ALLIANCE, INC. (CRD# 127470)2010 - 2016 (6 years)IAWEALTHCARE ALLIANCE, INC. (CRD# 127470)2007 - 2009 (2 years)
License(s)

State Registrations

B
Arizona 4/1/2021

B
North Carolina 1/3/2022

IA
Arizona 11/15/2021

B
Oklahoma 1/3/2022

B
Arkansas 4/1/2021

B
Oregon 4/1/2021

IA
California 10/15/2020

B
Pennsylvania 1/3/2022

B
California 4/1/2021

B
Rhode Island 1/3/2022

B
Colorado 4/1/2021

B
South Carolina 4/1/2021

B
District of Columbia 1/3/2022

B
Tennessee 4/1/2021

B
Georgia 4/1/2021

B
Texas 4/1/2021

B
Idaho 4/1/2021

IA
Texas 4/6/2021

B
Minnesota 1/3/2022

B
Utah 1/3/2022

B
Nevada 4/1/2021

B
Virginia 4/1/2021

B
New Mexico 4/1/2021

B
Washington 4/1/2021

B
New York 1/3/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
THE LEADERS GROUP, INC. (CRD#:37157)
2659 Townsgate Road, Suite 213, Westlake Village, CA 91361
Registered with this firm since 4/1/2021

IA
WINTERS FINANCIAL GROUP, INC. (CRD#:309549)
2659 TOWNSGATE RD. #213, WESTLAKE VILLAGE, CA 91361
SCOTTSDALE, AZ
Registered with this firm since 10/15/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/25/2016 - 06/11/2021 PROFESSIONAL PLANNING (CRD#:109561) THOUSAND OAKS, CA
B
04/25/2016 - 04/22/2021 MUTUAL SECURITIES, INC. (CRD#:13092) Thousand Oaks, CA
IA
01/29/2010 - 11/22/2016 WEALTHCARE ALLIANCE, INC. (CRD#:127470) WESTLAKE VILLAGE, CA
B
05/24/2007 - 04/27/2016 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) WESTLAKE VILLAGE, CA
IA
09/12/2007 - 12/31/2009 WEALTHCARE ALLIANCE, INC. (CRD#:127470) WESTLAKE VILLAGE, CA
B
05/09/2001 - 01/12/2006 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
02/08/2000 - 04/27/2001 AMERITAS INVESTMENT CORP. (CRD#:14869) LINCOLN, NE
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.