Alexander Ocipoff
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.
Alexander Ocipoff was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1992. Alexander had worked at 10 firms and has passed the Series 63, Series 6TO, 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
October 23, 2015 - May 30, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
July 9, 2008 - October 30, 2015
BRILL SECURITIES, INC.
November 13, 2007 - July 8, 2008
WESTROCK ADVISORS, INC.
October 23, 2002 - November 28, 2007
MAXIM GROUP LLC
June 1, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
May 28, 1996 - June 1, 1999
STUART, COLEMAN & CO., INC.
July 28, 1994 - June 4, 1996
JOSEPHTHAL & CO., INC.
September 22, 1993 - August 2, 1994
CITIGROUP GLOBAL MARKETS INC.
February 11, 1993 - July 23, 1993
D. H. BLAIR & CO., INC.
November 6, 1992 - February 25, 1993
ROBERT TODD FINANCIAL CORP.
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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.
