Richard Kevin Winters

Employer firm

Winters Financial Group, Inc. CRD 309549

$252M regulatory AUM 4 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2016 → 04/2021
  Mutual Securities
  Camarillo, CA
• 04/2016 → 08/2020
  Professional Planning Dba Winters Financial Group
  Thousand Oaks, CA
• 08/2020 → 06/2023
  Winters Financial Group
  Thousand Oaks, CA
• 04/2021 → Present
  The Leaders Group, Inc.
  Littleton, CO
• 06/2023 → Present
  Winters Financial Group
  Westlake Village, CA

Previous Registrations

• 2016-04-25 → 2021-06-11
  Professional Planning
  Thousand Oaks, CA
• 2010-01-29 → 2016-11-22
  Wealthcare Alliance, Inc.
  Westlake Village, CA
• 2007-09-12 → 2009-12-31
  Wealthcare Alliance, Inc.
  Westlake Village, CA

Other Businesses

1.) OWN REAL ESTATE - 1/1/2009 - 2659 Townsgate Road, Suite 213, Westlake Village, CA 91361 - Landlord, Own investment real estate, Not Invt Rel, Investment real estate business, 1 hr/mo; 1 hr/mo (during trading hours). 2.) WINTERS FINANCIAL GROUP - 1/15/2021 - 2659 Townsgate Road, Suite 213, Westlake Village, CA 91361 - Financial Advisor, Help clients develop and monitor long term financial plans, Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 3.) INDEPENDENT INSURANCE AGENT - 1/22/21 -2659 Townsgate Road, Suite 213, Westlake Village, CA 91361 - Financial Advisor, Help clients with life, DI and LTC insurance needs, Not Invt Rel, Insurance business, 10 hrs/mo; 10 hrs/mo (during trading hours).

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-09-14
• S63 Uniform Securities Agent State Law Examination
  2000-05-11

Other Names

• Rick Kevin Winters