Charles Michael Anthony Winn

CRD 2665123 · J.P. Morgan Securities LLC · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Charles Winn

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 7TOSIESeries 3Series 7Series 63Series 66Series 65
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (8)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Pathstone Federal Street
Los Angeles, CA · IA capacity

Nov 2, 2016 → Jan 2, 2019
Convergent Wealth Advisors, LLC
Los Angeles, CA · IA capacity

Mar 3, 2014 → Oct 31, 2016
City National Securities, Inc.
New York, NY · BC capacity

Jan 8, 2014 → Jan 29, 2016
Goldman, Sachs & Co.
New York, NY · BC capacity

Feb 28, 2005 → Dec 9, 2013
Brown Brothers Harriman & Co.
New York, NY · BC capacity

Aug 30, 2001 → Feb 24, 2005

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2665123 ↗ FINRA BrokerCheck record for CRD 2665123 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.