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Lloyd Winkler

Cetera Investment Advisers LLC
25 Years of Experience
Parsippany, NJ
7 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Lloyd Winkler is a registered investment advisor at Cetera Investment Advisers LLC, based in Parsippany, NJ, with 25 years of industry experience. Lloyd is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

14 Walsh Dr, Ste 100, Parsippany, NJ, 07054

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History

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 2017
Denied
Customer Dispute
February 2016
Settled
Customer Dispute
August 2015
Settled
Customer Dispute
January 2014
Settled
Customer Dispute
March 2009
Denied
Customer Dispute
June 2008
Settled
Customer Dispute
March 2008
Settled
View Full SEC ReportHow to Read Disclosures
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 2 mos
Cetera Investment Advisers LLC
August 2023 - Present · 3 yrs 2 mos
Cetera Wealth Services, LLCBroker
August 2023 - Present · 3 yrs 2 mos
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 Registrations20 states
ALAZCACOCTFLGALAMAMDMNNJNYOHORPARISCTXVA
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.
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