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Douglas Norman Winkler

Prudential Annuities Distributors, Inc.

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About Douglas Norman Winkler

Douglas Winkler has been in the financial industry since December 1991 and is currently registered with Prudential Annuities Distributors, Inc. in Hartford, Connecticut. Douglas holds the Series 6, Series 26, and Series 63 licenses and has been actively involved in the industry for over three decades. He has previously worked with firms such as Pruco Securities, LLC., Hartford Equity Sales Company Inc., and Phoenix Equity Planning Corporation.

Firm Information

Douglas Winkler is currently registered with Prudential Annuities Distributors, Inc.. Prudential Annuities Distributors, Inc. is a corporation formed in September 1987. It is registered in all 50 states, the District of Columbia, and Puerto Rico, as well as with the SEC. The firm has been the subject of 2 regulatory events and 1 civil event.

Not reported

Assets Under Management

Not reported

Total Clients

554

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Douglas Winkler’s Registration & Firm History

CT

03/26/2020 - Present

Prudential Annuities Distributors, Inc. (Hartford CT)

CT

01/03/2013 - 03/31/2020

PRUCO SECURITIES, LLC. (Hartford CT)

CT

01/22/2010 - 01/03/2013

HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)

CT

02/04/2009 - 01/04/2010

PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)

IL

01/27/2000 - 02/04/2009

PHOENIX EQUITY PLANNING CORPORATION (DOWNERS GROVE IL)

CT

11/29/1993 - 01/31/2000

W. S. GRIFFITH & CO., INC. (HARTFORD CT)

CT

05/14/1992 - 11/29/1993

PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)

MA

07/11/1988 - 12/10/1988

SMA EQUITIES, INC. (WORCESTER MA)

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Licenses & Designations

BC

Issued 04/29/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/29/2000

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/07/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas Norman Winkler.
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