Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kevin Winkler has been in the financial services industry since July 1980. James Winkler is currently registered with RBC Capital Markets, LLC. James Winkler also previously worked with UBS Financial Services Inc. and Kidder, Peabody & Co. Incorporated. James Winkler is registered with the state of Texas as an Investment Adviser Representative and General Securities Representative.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
TX
12/08/2014 - Present
RBC Capital Markets, LLC (Dallas TX)
TX
02/01/1988 - 12/16/2014
UBS FINANCIAL SERVICES INC. (PLANO TX)
NA
07/24/1980 - 02/18/1988
KIDDER, PEABODY & CO. INCORPORATED
BOTH
Issued 10/29/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/22/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/02/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/1985
Series 3 - National Commodity Futures Examination
BC
Issued 07/19/1980
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Winkler is the right advisor for you? Invested Better is here to help.
