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James F Winnert

Wells Fargo Clearing Services, LLC

Orchard Park, NY

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-07-27
TX RA APPROVED_RES 2023-07-27
  • NY RA
    APPROVED
    Since 2023-07-27
  • TX RA
    APPROVED_RES
    Since 2023-07-27

Branch Locations

4370 S Taylor Rd Ste 100, Orchard Park, NY 14127 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc West Seneca NY 06/2021 07/2023
Https://Gateway.fInra.oRg/App/Forms/U4/View/Dataentry/Section/Em Orchard Park NY 07/2023 Present
M&T Bank Buffalo NY 11/2002 06/2021
  • 06/2021 → 07/2023
    Lpl Financial Llc
    West Seneca, NY
  • 07/2023 → Present
    Https://Gateway.fInra.oRg/App/Forms/U4/View/Dataentry/Section/Em
    Orchard Park, NY
  • 11/2002 → 06/2021
    M&T Bank
    Buffalo, NY
Previous Registrations
  • 2021-06-09 → 2023-08-07
    Lpl Financial Llc
    West Seneca, NY
    Cheektowaga, NY
    Buffalo, NY
    Buffalo, NY
  • 2017-04-07 → 2021-06-09
    M&T Securities, Inc.
    Rochester, NY
    West Seneca, NY
    Fredonia, NY
    Silver Creek, NY
    Dunkirk, NY
    Bemus Point, NY
    Mayville, NY
    Buffalo, NY
    Buffalo, NY
    Cheektowaga, NY
    West Seneca, NY
    Williamsport, PA
    Buffalo, NY
    Cheektowaga, NY
    Baltimore, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-06
S65 Uniform Investment Adviser Law Examination 2003-12-27
S63 Uniform Securities Agent State Law Examination 1996-10-28
  • S66 Uniform Combined State Law Examination
    2017-04-06
  • S65 Uniform Investment Adviser Law Examination
    2003-12-27
  • S63 Uniform Securities Agent State Law Examination
    1996-10-28
Other Names
  • James Winnert
  • James Fitzgerald Winnert

View on SEC IAPD

Other Firms

WATERFORD ADVISORS, LLC
OSAIC WEALTH, INC.
EDWARD JONES
GENEOS WEALTH MANAGEMENT, INC.
LPL FINANCIAL LLC
FARRELL FINANCIAL
CLEAR VIEW WEALTH ADVISORS
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

GREGORY LEONARD KOZERSKI
Daniel Byles-Smith
Ryan Michael DiPasquale
CHRISTINA MARIE MICHALCZAK
MICHAEL D HARMER
Samantha Leigh Thomas
Ryan Clayton Smith
JEFFREY ROBERT VANREMMEN

Other Offices

WATERFORD ADVISORS, LLC · ORCHARD PARK, NY
OSAIC WEALTH, INC. · ORCHARD PARK, NY
EDWARD JONES · ORCHARD PARK, NY
GENEOS WEALTH MANAGEMENT, INC. · Orchard Park, NY
LPL FINANCIAL LLC · ORCHARD PARK, NY
LPL FINANCIAL LLC · ORCHARD PARK, NY
LPL FINANCIAL LLC · ORCHARD PARK, NY
FARRELL FINANCIAL · ORCHARD PARK, NY

More in Orchard Park, NY

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