Philip J. Karmin
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.
Philip Joseph Karmin was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1985. Philip had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 7, Series 24, Series 30, 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
January 20, 2012 - May 13, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
January 20, 2012 - May 13, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
June 11, 2010 - January 23, 2012
BURNHAM ASSET MANAGEMENT CORP
October 22, 2004 - January 23, 2012
BURNHAM SECURITIES INC.
March 15, 2002 - October 26, 2004
MORGAN STANLEY DW INC.
August 21, 2000 - October 26, 2004
MORGAN STANLEY DW INC.
July 1, 1998 - August 30, 2000
COWEN AND COMPANY
January 25, 1994 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 13, 1989 - February 24, 1994
RODMAN & RENSHAW INC.
May 21, 1985 - January 24, 1989
DREXEL BURNHAM LAMBERT 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
Series 15
Date: 6/6/1985
Foreign Currency Options ExaminationCurrent 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.
