Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Winfield? Claim Your ProfileWinfield James Western is a financial advisor with Wells Fargo Clearing Services, LLC. Winfield has been in the financial services industry since 1993. Previously, Winfield worked at UBS Financial Services Inc. and Citigroup Global Markets Inc. Winfield specializes in providing financial advice to individuals and businesses. Winfield holds Series 63, 65, 7, and 8 licenses as well as SIE designation and is registered to offer financial advice in 30 states.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
11/18/2016 - Present
Wells Fargo Clearing Services, LLC (ANAHEIM CA)
CA
11/24/2003 - 03/03/2010
UBS FINANCIAL SERVICES INC. (IRVINE CA)
NY
07/03/1995 - 12/04/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
05/27/1993 - 06/21/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 06/18/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/22/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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