Kurt B. Karmin
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.
Kurt Bernard Karmin was a registered financial professional .
Kurt is a previously registered financial professional and started their career in finance in 1963. Kurt had worked at 10 firms and has passed the Series 63, Series 15, Series 5, PC, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2012 - December 31, 2012
WESTERN INTERNATIONAL SECURITIES, INC.
October 22, 2004 - January 23, 2012
BURNHAM SECURITIES INC.
December 17, 2002 - October 26, 2004
MORGAN STANLEY DW INC.
August 25, 2000 - October 26, 2004
MORGAN STANLEY DW INC.
July 1, 1998 - August 30, 2000
COWEN AND COMPANY
February 10, 1994 - July 1, 1998
FINANCIAL SQUARE PARTNERS
June 7, 1988 - February 24, 1994
RODMAN & RENSHAW INC.
January 6, 1977 - June 21, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
October 2, 1972 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
April 4, 1963 - November 11, 1972
FREEHLING & CO.
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: 5/17/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 12
Date: 9/16/1972
NYSE Branch Manager 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.
