Denise Scarabino
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.
Denise Scarabino, who also goes by Denise Kelley, Denise Miller, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1989. Denise had worked at 10 firms and has passed the Series 65, Series 99TO, SIE, Series 7, Series 6 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
September 30, 2022 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
September 30, 2022 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
September 30, 2022 - August 1, 2025
SCF SECURITIES, INC.
September 30, 2022 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
September 30, 2022 - August 1, 2025
CADARET, GRANT & CO., INC.
February 28, 2002 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
August 4, 2000 - March 15, 2001
AVANZA CAPITAL MARKETS INC.
April 6, 2000 - June 27, 2000
CUSO FINANCIAL SERVICES, L.P.
May 28, 1993 - March 28, 2000
LPL FINANCIAL LLC
August 9, 1989 - June 10, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 9, 1989 - June 10, 1992
EQUITABLE ADVISORS, LLC
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 99TO
Date: 1/2/2023
Operations Professional 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.
