This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

WINTERS FINANCIAL GROUP, INC.

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Aug 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

5derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

3

Designations

Certified Financial Planner

Exams

S66|S63

First exam

Oct 17, 2018

First registration

Feb 5, 2021

Dual registered

yes, broker-dealer

Other names

Nick Winters|Nicholas Robert Winters|NICHOLAS WINTERS

IAPD individual key

6653236

Graph

RIA / Wealth Management

Canonical id

dfx:ria:20ce4fae-af8b-2045-15ac-10160d5f7ac5

First observed

Feb 5, 2021

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.