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Current Employers
St. Bernard Financial Services, Inc.

1609 West Main St, Russellville, AR 72801 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2021-08-30
CA RA APPROVED 2021-08-24
  • AZ RA
    APPROVED
    Since 2021-08-30
  • CA RA
    APPROVED
    Since 2021-08-24

Branch Locations

1609 West Main St, Russellville, AR 72801 • United States

Tucson, AZ • United States

1609 West Main St., Russellville, AR 72801 • UNITED STATES

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services,Inc. Mesa AZ 03/2007 08/2017
Raymond James Financial Services Advisors, Inc Mesa AZ 01/2009 08/2017
Comprehensive Advisors Group Mesa AZ 04/2007 Present
Independent Financial Partners Tampa FL 08/2018 05/2020
Ifp Securities, Llc Tucson AZ 05/2019 05/2020
St. Bernard Financial Services, Inc. Russellville AR 05/2020 Present
Previous Registrations
Other Businesses

1) Comprehensive Advisors Group LLC; 10973 North Black Canyon Ct, Tucsan, AZ 85737; Support Company/DBA (Owner); President/Managing Director ; Not investment related; Start Date: 04/15/2007; Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Support Entity for RJFS Activities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-17
  • S66 Uniform Combined State Law Examination
    2002-08-17
Other Names
  • Tom Winters
  • F. Thomas Winters
  • Frank Thomas Winters

View on SEC IAPD

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