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James Kevin Winkler

Janney Montgomery Scott LLC

Dallas, TX

CRD 712242

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Employer firm

Janney Montgomery Scott LLC CRD 463

$110B regulatory AUM 1,031 advisory clients

Reported services (Item 5G)

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

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

Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-06-29
TX RA APPROVED 2025-11-10
  • NY RA
    APPROVED
    Since 2026-06-29
  • TX RA
    APPROVED
    Since 2025-11-10

Branch Locations

5960 Berkshire Lane Suite 500, Dallas, TX 75225 • 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
Rbc Capital Markets, Llc Dallas TX 12/2014 11/2025
Janney Montgomery Scott Llc Dallas TX 11/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-29
S63 Uniform Securities Agent State Law Examination 1980-07-22
  • S66 Uniform Combined State Law Examination
    2015-10-29
  • S63 Uniform Securities Agent State Law Examination
    1980-07-22
Other Names
  • Jim Winkler

View on SEC IAPD

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