Eric G. Stroud
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.
Eric Garner Stroud was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1986. Eric had worked at 7 firms and has passed the Series 63, Series 7TO, 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
July 6, 2001 - January 3, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
December 19, 2000 - August 21, 2001
AUERBACH, POLLAK & RICHARDSON INC.
May 25, 1994 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
March 14, 1988 - June 3, 1994
F.N. WOLF & CO., INC.
March 30, 1987 - March 15, 1988
EQUITABLE SECURITIES OF NEW YORK,INC.
February 2, 1987 - April 3, 1987
SHERWOOD CAPITAL, INC.
May 22, 1986 - January 31, 1987
FIRST JERSEY 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
Series 7TO
Date: 4/25/2024
General Securities Representative 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.
