Individual Firm
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BLAKE RALPH WINTERS
Blake Winters
CRD#: 6635365
IA
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FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 SAN LEANDRO, CA
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 OAKLAND, CA
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Disclosures
8
Years of Experience
View By:
State Registrations
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Arizona 2/17/2022
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Oregon 2/17/2022
B
California 2/9/2022
B
Texas 4/5/2022
IA
California 3/8/2022
IA
Texas 5/10/2022
B
Colorado 4/15/2022
B
Utah 4/15/2022
B
Idaho 1/4/2025
B
Washington 2/17/2022
B
Montana 5/7/2024
B
Wyoming 2/9/2022
B
Nevada 2/9/2022
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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Registered with this firm since 3/8/2022
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/29/2021 - 02/10/2022 | SHERIDAN, WY | |
IA | 07/09/2021 - 01/18/2022 | SHERIDAN, WY | |
B | 07/15/2020 - 01/18/2022 | SHERIDAN, WY | |
B | 04/16/2018 - 07/15/2020 | PHILADELPHIA, PA | |
B | 09/18/2017 - 01/09/2018 | MALVERN, PA | |
B | 07/26/2016 - 08/18/2017 | RENO, NV |
For additional information about investment advisers or broker-dealers, please visit
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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.