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JAMES KEVIN WINKLER
Jim Winkler
CRD#: 712242
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RBC CAPITAL MARKETS, LLCCRD#: 31194 100 CRESCENT COURT
SUITE 1500
DALLAS, TX 75201-1871
SUITE 1500
DALLAS, TX 75201-1871
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Disclosures
44
Years of Experience
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State Registrations
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Arkansas 1/26/2015
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North Dakota 10/11/2017
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California 5/23/2016
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Ohio 7/21/2022
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Delaware 1/4/2022
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Pennsylvania 12/8/2014
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Florida 1/3/2019
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South Carolina 12/8/2014
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Georgia 12/8/2014
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South Dakota 8/20/2020
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Hawaii 4/29/2021
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Tennessee 7/31/2018
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Louisiana 12/11/2014
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Texas 12/8/2014
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Michigan 12/8/2014
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Texas 12/8/2014
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Minnesota 11/14/2023
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Utah 4/29/2021
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North Carolina 5/25/2017
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Virginia 11/16/2022
SRO Registrations
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Registered with this firm since 12/8/2014
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Registered with this firm since 12/8/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/28/1988 - 12/16/2014 | PLANO, TX | |
B | 02/01/1988 - 12/16/2014 | PLANO, TX | |
B | 07/24/1980 - 02/18/1988 |
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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.
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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.