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Royce L Winsten

Fidelity Brokerage Services LLC

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About Royce L Winsten

Royce Winsten is a financial advisor with Fidelity Brokerage Services LLC. Royce has been in the industry since December 9, 2000 and has a strong track record of providing investment advice to clients. Royce is registered to provide investment advice in 52 states and is also a registered representative of FINRA. Royce has a wide range of experience in the financial industry, having worked with several firms over the years, including The Investment Center, Inc., UBS Financial Services Inc., Salomon Smith Barney Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Royce Winsten is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

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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Royce Winsten’s Registration & Firm History

RI

07/23/2024 - Present

Fidelity Brokerage Services LLC (SMITHFIELD RI)

NA

07/01/2005 - 02/17/2017

THE INVESTMENT CENTER, INC. (NOVA SCOTIA )

NJ

10/04/2002 - 07/28/2005

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

05/08/1995 - 10/11/2002

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

07/08/1993 - 05/09/1995

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

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Licenses & Designations

BC

Issued 08/07/2024

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 06/07/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/23/2024

Series 7TO - General Securities Representative Examination

BC

Issued 05/17/2024

SIE - Securities Industry Essentials Examination

BC

Issued 08/08/2006

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 05/06/2002

Series 3 - National Commodity Futures Examination

BC

Issued 07/06/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are 2 public disclosures for Royce L Winsten. Review regulatory record here.
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