Scott R. Kramer
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.
Scott Richard Kramer was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1983. Scott had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2015 - December 1, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
July 2, 2015 - December 1, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
February 27, 2009 - December 31, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
February 27, 2009 - December 31, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
December 5, 2007 - March 4, 2009
PRINCIPAL SECURITIES, INC.
November 7, 2007 - March 4, 2009
PRINCIPAL SECURITIES, INC.
May 25, 2005 - November 8, 2007
OBSIDIAN FINANCIAL GROUP, LLC
January 6, 2004 - May 26, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 12, 2003 - May 26, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 31, 2000 - December 19, 2003
UBS FINANCIAL SERVICES INC.
March 10, 2000 - December 19, 2003
UBS FINANCIAL SERVICES INC.
July 15, 1996 - March 16, 2000
WELLS FARGO SECURITIES INC.
March 28, 1995 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
January 24, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
April 6, 1993 - January 27, 1995
FIMCO SECURITIES GROUP, INC.
May 3, 1991 - February 18, 1992
METROPOLITAN LIFE INSURANCE COMPANY
May 3, 1991 - February 18, 1992
MSI FINANCIAL SERVICES, INC.
January 5, 1989 - October 9, 1989
CAL FED INVESTMENTS
June 12, 1986 - January 4, 1989
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 10, 1985 - May 27, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
October 4, 1984 - March 4, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 15, 1984 - August 29, 1984
EASTERN CAPITAL SECURITIES, INC.
September 27, 1983 - May 4, 1984
KOBRIN SECURITIES, INC.
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
