Richard Winters is a registered investment advisor, based in Phoenix, AZ, with 25 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Phoenix, AZ
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard owns investment real estate and dedicates minimal time to it. He also works as a financial advisor at Winters Financial Group full-time and helps clients with insurance needs as an independent insurance agent, dedicating a few hours per week.
Employment History
Current Registrations
The Leaders Group, INC.Broker
The Leaders Group, INC.
Winters Financial Group, INC.
Previous Registrations
Professional Planning
Mutual Securities, INC.Broker
Wealthcare Alliance, INC.
Wealthcare Alliance, INC.
Royal Alliance Associates, INC.Broker
Royal Alliance Associates, INC.Broker
Ameritas Investment CORP.Broker
State Registrations23 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
More Advisors
- Natalie Rivosecchi, CFPCharles Schwab & CO., INC.
- Cheryl Knight, ChFCLPL Enterprise, LLC
- Luke Watson, CFPSchwab Wealth Advisory, INC.
- Sarah Spiller, CFP, ChFCCharles Schwab & CO., INC.
- Emily Stead, CFPCetera Investment Advisers LLC
- Maria Samuel, ChFCState Farm Investment Management CORP.