Victor J. Loh
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.
Victor James Loh was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1991. Victor had worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2001 - January 14, 2008
WESTERN INTERNATIONAL SECURITIES, INC.
August 2, 1996 - September 1, 2000
PROVIDENTIAL SECURITIES, INC.
March 29, 1996 - April 10, 1996
THE CAMELOT GROUP, INC.
April 7, 1995 - February 27, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 23, 1991 - February 6, 1995
GLENFED BROKERAGE SERVICES
January 22, 1991 - July 18, 1991
MARKETING ONE 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.
