Dharmesh S. Vyas
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.
Dharmesh Shrikant Vyas, who also goes by Dar Vyas, Dharmesh Vyas, was a registered financial professional .
Dharmesh is a previously registered financial professional and started their career in finance in 1988. Dharmesh had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
July 30, 2007 - December 31, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
July 10, 2006 - May 1, 2007
WESTERN INTERNATIONAL SECURITIES, INC.
July 10, 2006 - December 31, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
May 3, 2002 - July 20, 2006
WELLS FARGO CLEARING SERVICES, LLC
September 27, 1999 - July 20, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - October 1, 1999
CITIGROUP GLOBAL MARKETS INC.
May 18, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
December 17, 1990 - May 26, 1993
MORGAN STANLEY DW INC.
January 19, 1988 - January 14, 1991
LEHMAN BROTHERS 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.
