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2659 Townsgate Rd. #213, Westlake Village, CA 91361 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-10-28 |
| AZ | RA | APPROVED | 2021-08-18 |
| CA | RA | APPROVED | 2021-08-03 |
Branch Locations
2659 Townsgate Rd. #213, Westlake Village, CA 91361 • United States
Phoenix, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 08/2018 | 07/2021 |
| Foresters Financial | Phoenix | AZ | 06/2017 | 08/2017 |
| University Of Arizona | Tucson | AZ | 08/2014 | 06/2018 |
| Winters Financial Group, Inc. | Thousand Oaks | CA | 07/2021 | 06/2023 |
| The Leaders Group, Inc. | Littleton | CO | 08/2021 | Present |
| Winters Financial Group | Westlake Village | CA | 06/2023 | Present |
1.) WINTERS FINANCIAL GROUP - 7/16/21 - 2659 Townsgate Road, Suite 213, Westlake Village, CA 91361 - Invt Advisor, Work with clients on their financial planning, Invt Rel, IAR Business, 200 hrs/mo; 200 hrs/mo (during trading hours). 2.) INDEPENDENT INSURANCE AGENT - 08/16/2021 - 6720 N 14th Dr, Phoenix AZ 85013 - Financial Advisor, Financial Advisor helping clients with life/DI and LTC insurance needs, Insurance business, Not Investment Related, 10 hrs/mo; 10 hrs/mo (during trading hours).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 2018-10-17 |
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