Warren D. Carruth
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 Douglas Carruth, who also goes by Chip Carruth Jr, Chip Carruth, Warren Douglas Carruth, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1993. Warren had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2004 - May 1, 2007
WESTERN INTERNATIONAL SECURITIES, INC.
March 23, 1998 - December 31, 2012
WESTERN INTERNATIONAL SECURITIES, INC.
June 21, 1994 - April 24, 1998
SPECTRUM SECURITIES, INC.
November 17, 1993 - June 20, 1994
ROSE SECURITIES CORPORATION
July 8, 1993 - November 10, 1993
SCHNEIDER SECURITIES, 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.
