Wynn A. Saulmon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Wynn Alan Saulmon was a registered financial professional .
Wynn is a previously registered financial professional and started their career in finance in 1986. Wynn had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 1989 - May 9, 1989
ONE FINANCIAL SECURITIES, INC.
July 13, 1987 - December 19, 1987
MORGAN STANLEY DW INC.
March 20, 1987 - July 17, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 1986 - October 18, 1986
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ONE FINANCIAL SECURITIES, INC.
CRD#: 16127 / SEC#: , 8-33237
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
