Warren Firstenberg
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.
Warren Firstenberg was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1971. Warren had worked at 19 firms and has passed the Series 63, SIE, Series 3, Series 15, PC, Series 000 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
October 27, 2015 - October 28, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
January 23, 2003 - October 30, 2015
BRILL SECURITIES, INC.
January 3, 2003 - February 3, 2003
OPPENHEIMER & CO. INC.
July 3, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
February 10, 1993 - July 18, 2000
WELLS FARGO CLEARING SERVICES, LLC
December 1, 1992 - February 3, 1993
REICH & CO., INC.
November 23, 1990 - December 1, 1992
REICH & CO., INC.
January 4, 1989 - November 19, 1990
LEHMAN BROTHERS INC.
June 24, 1987 - January 1, 1989
PERSHING LLC
July 30, 1985 - July 6, 1987
SCHRODER & CO. INC.
March 5, 1984 - August 7, 1985
CITIGROUP GLOBAL MARKETS INC.
September 24, 1980 - March 13, 1984
PERSHING LLC
March 20, 1979 - September 4, 1980
EVANS & CO., INC.
April 3, 1978 - March 5, 1979
L. F. ROTHSCHILD & CO. INCORPORATED
September 17, 1976 - April 22, 1978
MOSELEY, HALLGARTEN & ESTABROOK INC
May 28, 1975 - October 7, 1976
BUTCHER & SINGER INC.
August 21, 1974 - June 19, 1975
E. F. HUTTON & COMPANY INC
February 12, 1974 - November 21, 1974
AMIVEST CORPORATION
July 25, 1972 - May 23, 1973
JAS. H. OLIPHANT & CO., INC.
September 13, 1971 - July 22, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 15
Date: 3/4/1985
Foreign Currency Options ExaminationPC
Date: 3/1/1984
AMEX Put and Call ExamSeries 000
Date: 6/2/1972
General Securities Principal ExaminationSeries 1
Date: 9/8/1971
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.
