Thomas E. Fakehany
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.
Thomas Ellis Fakehany was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1966. Thomas had worked at 12 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2016 - December 31, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
October 23, 2007 - August 26, 2016
NEWPORT COAST SECURITIES, INC.
July 20, 2004 - October 30, 2007
ASHRAF CAPITAL CORP.
September 30, 1999 - October 1, 1999
INTERFIRST CAPITAL CORPORATION
September 29, 1999 - August 16, 2004
GREENWOOD SECURITIES, INC.
October 11, 1991 - September 30, 1999
W.J. GALLAGHER & COMPANY, INC.
June 17, 1991 - July 1, 1991
W.J. GALLAGHER & COMPANY, INC.
May 13, 1980 - June 26, 1991
GLIKSMAN SECURITIES CORP.
December 16, 1976 - June 13, 1980
GALLAGHER, BOYLAN & COOK, INC.
February 4, 1976 - December 27, 1976
N. T. ROTHSCHILD & CO. INC
January 7, 1976 - February 21, 1977
DIVERSIFIED SECURITIES, INCORPORATED
December 10, 1974 - December 19, 1975
BENCHMARK SECURITIES, INC. CO.
June 23, 1966 - April 28, 1975
B J LERNER AND CO
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 1
Date: 6/20/1966
Registered 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.
