Siavosh S. Eshtehardi
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.
Siavosh Steven Eshtehardi, who also goes by Siavosh E Eshtehard, Ebadolah Sia Eshtehardi, Ebadolah Siavosh Eshtehardi, Sia Eshtehardi, Siavosh E Eshtehardi, Siavosh Eshtehardi, was a registered financial professional .
Siavosh is a previously registered financial professional and started their career in finance in 1993. Siavosh had worked at 5 firms and has passed the Series 65, Series 63 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
June 23, 2011 - October 3, 2012
WESTERN INTERNATIONAL SECURITIES, INC.
June 23, 2011 - October 3, 2012
WESTERN INTERNATIONAL SECURITIES, INC.
June 1, 2009 - June 17, 2011
MORGAN STANLEY
June 1, 2009 - June 17, 2011
MORGAN STANLEY
September 25, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 15, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 26, 1993 - September 15, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 1993 - March 4, 1993
M.C. FINANCIAL CORPORATION
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.
