Steven M. Fuhrman
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.
Steven Mark Fuhrman was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2013 - October 8, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2008 - December 31, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
March 22, 2005 - April 15, 2008
NRP FINANCIAL, INC.
August 1, 2003 - May 6, 2004
WALNUT STREET SECURITIES, INC.
July 28, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
April 2, 1998 - July 8, 1999
BURNHAM SECURITIES INC.
July 22, 1985 - April 8, 1998
FUHRMAN - MATT SECURITIES, INC.
August 22, 1984 - August 12, 1985
JII 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.
