LW
LW
Lloyd Winkler
24 Years of Experience
Parsippany, NJ
7 DisclosuresBrokerSells Insurance
Lloyd Winkler is a registered investment advisor, based in Parsippany, NJ, with 24 years of industry experience.
Location
14 Walsh Dr, Ste 100, Parsippany, NJ, 07054
Get directionsHistory
Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2017Denied
Customer Dispute
February 2016Settled
Customer Dispute
August 2015Settled
Customer Dispute
January 2014Settled
Customer Dispute
March 2009Denied
Customer Dispute
June 2008Settled
Customer Dispute
March 2008Settled
Other Business ActivitiesSells Insurance
Lloyd works as an agent/broker for Allied Wealth Partners, selling fixed insurance. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Cetera Wealth Services, LLC
August 2023 - Present · 3 yrs 1 mo
Cetera Investment Advisers LLC
August 2023 - Present · 3 yrs 1 mo
Cetera Wealth Services, LLCBroker
August 2023 - Present · 3 yrs 1 mo
Previous Registrations
Securian Financial Services, INC.
June 2004 - August 2023 · 19 yrs 2 mos
Securian Financial Services, INC.Broker
June 2004 - August 2023 · 19 yrs 2 mos
Ws Griffith Securities, INC.
August 2002 - June 2004 · 1 yr 10 mos
Ws Griffith Securities, INC.Broker
July 2001 - June 2004 · 2 yrs 11 mos
State Registrations19 states
ALAZCACOCTFLGALAMAMDNJNYOHORPARISCTXVA
AdvisorBrokerBoth
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
No exam information available for this advisor.