Richard Winters, financial advisor Westlake Village CA

Richard Winters

CRD Number: 4047376
Current Firm: Winters Financial Group, Inc.

Richard Winters (CRD# 4047376) is an Investment Advisor Representative working at Winters Financial Group, Inc. in Westlake Village, CA and has over 23 years of experience in the finance industry.

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Company Name Location Dates Years
Winters Financial Group Westlake Village, CA Jun 2023 - Current < 1
The Leaders Group, Inc. Littleton, CO Apr 2021 - Current 2
Winters Financial Group Thousand Oaks, CA Aug 2020 - Jun 2023 2
Mutual Securities Camarillo, CA Apr 2016 - Apr 2021 5
Professional Planning Dba Winters Financial Group Thousand Oaks, CA Apr 2016 - Aug 2020 4
Royal Alliance Associates, Inc. Thousand Oaks, CA May 2007 - Apr 2016 8
Winters Financial Group, Inc. Westlake Village, CA Jun 2004 - Nov 2015 11
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Sep 2000
S63 Uniform Securities State Law Examination May 2000
Contact Info for Richard K. Winters
Phone Number: 805-497-1717
Registered State(s):
  • AZ
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    169
    MILLIONS
  • Total Number of Accounts
    550
    ACCOUNTS
  • Average Account Value
    $308,140
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AZ, CA, NY, TX

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