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Phillip Peter Winiecki

Capital ONE Securities, Inc.

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About Phillip Peter Winiecki

Phillip Peter Winiecki is a financial advisor with Capital ONE Securities, Inc., based in New York, NY. Phillip has been in the securities industry since 1997 and has a strong background in investment banking. He holds a Series 7, Series 24, Series 63 and SIE licenses. Phillip has experience in providing advisory services to clients in a variety of industries. He is also registered with the following states: California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia. Before joining Capital ONE Securities, Inc., Phillip worked for Nomura Securities International, Inc., BMO Capital Markets Corp., Citigroup Global Markets Inc., and Salomon Brothers Inc.

Firm Information

Phillip Winiecki is currently registered with Capital ONE Securities, Inc.. Capital ONE Securities, Inc. is a Corporation formed in April 2000 and approved in multiple states, including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

103

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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Phillip Winiecki’s Registration & Firm History

NY

09/22/2016 - Present

Capital ONE Securities, Inc. (New York NY)

NY

04/13/2015 - 08/08/2016

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

08/23/2004 - 04/14/2015

BMO CAPITAL MARKETS CORP. (NEW YORK NY)

NY

09/30/1997 - 09/02/2004

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

11/29/1997 - 09/01/1998

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/05/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/11/2018

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/29/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Phillip Peter Winiecki.
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