JAMES KINNEY WINKELMAN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 38 EASTWOOD DRIVE, SUITE 400, SOUTH BURLINGTON, VT, 05403.
JAMES KINNEY WINKELMAN has worked at UBS FINANCIAL SERVICES INC. since May 24, 2012
Disclosure History
JAMES KINNEY WINKELMAN has 1 Disclosure Event(s).
Date: September 21, 2010 Category: Customer Dispute Allegations: IT IS ALLEGED THAT ANNUITIES PURCHASED JULY 25, 2008 WERE UNSUITABLE INVESTMENTS. Settlement Amount: $5,000.00 Broker Comment: THE MECHANICS OF THE INSURANCE PRODUCT AT ISSUE MAY NOT PROVIDE FOR THE REQUIRED RMDS IN A BENEFICIARY IRA. THE CLIENT CLOSED THE CONTRACT WITH A PROFIT AND REMAINS A CLIENT TO THIS DAY.
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