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Richard Douglas Winter

BGC Financial, LP

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About Richard Douglas Winter

Richard Winter is an active advisor with over 27 years of experience in the financial industry. Richard is currently registered with BGC Financial, LP and is located in their New York office. Prior to joining BGC Financial, LP, Richard was associated with Mint Brokers, FBR Capital Markets & Co., KBC Financial Products USA, Inc., D. E. Shaw Securities, L.P. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard is licensed to provide securities advice and trade in securities for customers in 50 states.

Firm Information

Richard Winter is currently registered with BGC Financial, LP. BGC Financial, LP is a Partnership that was formed on April 2, 2008. They are registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. They have been involved in 36 Regulatory Events.

Not reported

Assets Under Management

Not reported

Total Clients

132

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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Richard Winter’s Registration & Firm History

NY

06/12/2015 - Present

BGC Financial, LP (NEW YORK NY)

NY

12/15/2015 - 06/12/2018

MINT BROKERS (NEW YORK NY)

NY

05/12/2009 - 05/18/2012

FBR CAPITAL MARKETS & CO. (NEW YORK NY)

NY

09/20/1999 - 11/25/2008

KBC FINANCIAL PRODUCTS USA, INC. (NEW YORK NY)

NY

02/27/1996 - 10/29/1999

D. E. SHAW SECURITIES, L.P. (NEW YORK NY)

NY

08/27/1991 - 02/27/1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/25/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/27/1998

Series 24 - General Securities Principal Examination

BC

Issued 07/17/1997

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/08/2010

Series 3 - National Commodity Futures Examination

BC

Issued 08/18/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/26/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Richard Douglas Winter.
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