Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Winters is an investment advisor representative who has been working in the industry since 2005. Alice is registered with Steward Partners Investment Advisory, LLC and has previously been affiliated with Raymond James Financial Services, Inc., Wells Fargo Clearing Services, LLC, SunTrust Investment Services, Inc., MetLife Securities Inc., and Metropolitan Life Insurance Company. Alice holds several industry licenses including Series 7, Series 6, Series 63, and Series 65. Alice is committed to providing her clients with comprehensive financial planning and investment advice. Alice is also registered in several states including Delaware, Louisiana, Texas, and Virginia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Financial consulting
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
02/05/2021 - Present
Steward Partners Investment Advisory, LLC (NEW YORK NY)
VA
02/05/2021 - 05/27/2022
RAYMOND JAMES FINANCIAL SERVICES, INC. (MIDLOTHIAN VA)
VA
03/01/2013 - 02/12/2021
WELLS FARGO CLEARING SERVICES, LLC (RICHMOND VA)
VA
08/27/2008 - 03/01/2013
SUNTRUST INVESTMENT SERVICES, INC. (RICHMOND VA)
VA
07/25/2005 - 07/24/2008
METLIFE SECURITIES INC. (RICHMOND VA)
VA
07/25/2005 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (RICHMOND VA)
IA
Issued 11/27/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/22/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/26/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 6/14/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2011
Series 7 - General Securities Representative Examination
BC
Issued 7/22/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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