Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Washington-based PFS Investments broker Daniel Winger has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Winger (CRD# 1542674).
Daniel Winger has spent thirty-one years in the securities industry and was registered with PFS Investments in Federal Way, Washington from 1986 until August 2018. He has no previous registrations. He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 12, 1986; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 13, 1986; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on November 8, 1988. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one FINRA sanction and one customer complaint.