Allan E. Singer
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.
Allan Edward Singer, who also goes by Edward Allan Singer, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1990. Allan had worked at 12 firms and has passed the 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
August 30, 2012 - September 27, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
June 28, 2012 - August 28, 2012
ALEXANDER CAPITAL, L.P.
March 17, 2003 - June 28, 2012
SAMUELS CHASE & CO., INC.
March 3, 2003 - March 27, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
January 24, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
January 2, 2002 - January 16, 2003
OPPENHEIMER & CO. INC.
October 23, 2000 - January 2, 2002
PRIME CHARTER LTD.
January 10, 2000 - October 23, 2000
LABRANCHE FINANCIAL SERVICES, LLC
January 24, 1995 - July 20, 1999
LABRANCHE FINANCIAL SERVICES, LLC
March 23, 1993 - January 24, 1995
BLUESTONE CAPITAL CORP.
December 4, 1992 - March 26, 1993
CANTELLA & CO., INC.
November 13, 1991 - December 14, 1992
A.J. MICHAELS & CO., LTD.
June 11, 1990 - November 13, 1991
TITAN/VALUE EQUITIES GROUP, 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.
