John Winn has been an investment adviser representative at Rubicon Advisors, GP since May 2017, and is not listed among the firm’s executive officers or direct owners.
Rubicon Advisors, GP is a Redding, CA firm with $421M under management, 1,391 clients and 19 advisers across 6 offices, as of its September 2026 filing.
John Winn’s longest registration is the current one, 9 years at LPL Financial LLC since 2017. Before joining Rubicon Advisors, GP in 2017, John Winn was registered through Wells Fargo Clearing Services, LLC and Edward Jones.
- LPL Financial LLCAlso current– present · 9 yearsAnderson, CA · Adviser representative and broker · Firm CRD 6413
- Wells Fargo Clearing Services, LLC– · 3 yearsParadise, CA · Adviser representative · Firm CRD 19616
- Edward Jones– · 1 yearChico, CA · Adviser representative · Firm CRD 250
Investment adviser representative registrations
John Winn is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from May 2017; the most recent is Texas, in September 2021.
- CaliforniaSince 24 May 2017
- TexasResidentSince 10 September 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 17 October 2024 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 9 November 2012 |
| Series 7 | General Securities Representative Examination | 23 October 2012 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 11 June 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 November 2008 |
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- John Stuart Winn
- CRD
- 5525954
- Firm
- Rubicon Advisors, GP · CRD 174447
- Office
- 2650 Larkspur Lane, Suite F, Redding, CA 96002
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 2010
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does John Winn work?
John Winn is an investment adviser representative registered through Rubicon Advisors, GP since May 2017, and is not listed among the firm’s executive officers or direct owners.
Is John Winn a financial advisor?
Yes. John Winn has a current investment-adviser registration in California and Texas, through Rubicon Advisors, GP since May 2017.
How many years of experience does John Winn have?
John Winn has 16 years in the financial industry, since September 2010, across 4 adviser firms.
What exams has John Winn passed?
John Winn has passed 5 licensing exams: the Series 63, Series 6, Series 7, Series 66 and Series 24. The earliest, the Series 63, was passed in November 2008. FINRA credited John Winn with the SIE, which began in October 2018.
Where did John Winn work before Rubicon Advisors, GP?
Before Rubicon Advisors, GP, John Winn was registered through Edward Jones, November 2012 to April 2014.
Where is John Winn based?
John Winn’s registered office is in Redding, CA.
Is John Winn registered with FINRA?
Yes. John Winn has a current broker registration, under CRD 5525954.
Source: FINRA BrokerCheck
How can I verify John Winn’s record?
Search CRD 5525954 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John Winn’s full registration record.