William Winchester (CRD #: 4404327), a broker and investment adviser registered with Cadaret Grant & Co., Incorporated, was fined by the Tennessee Securities Division following allegations that he engaged in dishonest practices when he failed to disclose loans with three clients to his firm, according to his BrokerCheck record, accessed August 20, 2020. Do you have questions about William Winchester’s conduct as a broker? Keep reading to learn more.
On June 11, 2020, the Tennessee Securities Division alleged that William Winchester engaged in unethical practices “by failing to disclose to his firm three loans with three different clients, either initially or through annual compliance questionnaires.”
This is not the only disclosure on William Winchester’s BrokerCheck record.
On February 20, 2020, William Winchester was discharged from his position at Raymond James Financial Services, Incorporated, following allegations that he had failed to disclose a business loan agreement and two personal loan arrangements with separate clients.
On April 18, 2018, William Winchester faced a client complaint regarding negligence, unsuitable investment recommendations, excessive turnover, negligent hiring, and selling away. The client sought $150,000; the claim was settled for $7,500.
William Winchester has passed the Series 66 Uniform Combined State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 24 General Securities Principal Examination. He is a registered broker in Georgia and Tennessee and a registered investment adviser in Tennessee.
During his 17-year career, William Winchester has worked at 6 firms.
- Raymond James Financial Services Advisors, Incorporated (CRD #: 149018)
- Raymond James Financial Services, Incorporated (CRD #: 6694)
- LPL Financial LLC (CRD #: 6413)
- Suntrust Investment Services, Incorporated (CRD #: 17499)
- First Tennessee Brokerage, Incorporated (CRD #: 17117)
- Amsouth Investment Services (CRD #: 15692)
If William Winchester was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for your free case consultation with a securities attorney.