Benjamin Partlow
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.
Benjamin Partlow, who also goes by Ben Partlow, Benjamin Wissler Partlow, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1984. Benjamin had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2018 - January 28, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
April 1, 2002 - December 31, 2018
NORTHEAST SECURITIES, LLC
May 15, 1996 - April 2, 2002
ROUND HILL SECURITIES, INC.
January 16, 1995 - May 16, 1996
FIRST ALLIED SECURITIES, INC.
April 25, 1994 - December 21, 1994
FIRST AFFILIATED SECURITIES
July 31, 1992 - April 11, 1994
A. G. EDWARDS & SONS, INC.
September 13, 1990 - July 31, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1984 - October 17, 1989
FIRST UNION CAPITAL MARKETS CORP.
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.
