Shail V. Mehta
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.
Shail Vithaldas Mehta was a registered financial professional .
Shail is a previously registered financial professional and started their career in finance in 1984. Shail had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 4 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
May 12, 2009 - December 19, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
May 12, 2009 - December 19, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
March 4, 2005 - May 21, 2009
FINANCIAL WEST GROUP
July 8, 1997 - January 3, 2005
FINANCIAL WEST GROUP
April 30, 1991 - May 21, 2009
FINANCIAL WEST GROUP
November 28, 1990 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
May 31, 1989 - November 30, 1990
FIRST AFFILIATED SECURITIES
January 22, 1987 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
December 21, 1984 - January 29, 1987
INTERFIRST CAPITAL CORPORATION
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.
