Mary L. Robinson
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.
Mary Louise Robinson, who also goes by Maria L. Robinson, Maria Louise Robinson, Maria Robinson, Mary L. Robinson, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1995. Mary had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 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
August 21, 2017 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
April 26, 2016 - August 21, 2017
FINANCIAL WEST GROUP
April 26, 2016 - August 21, 2017
FINANCIAL WEST GROUP
March 21, 2014 - April 26, 2016
PROTECTED INVESTORS OF AMERICA
March 21, 2014 - April 26, 2016
PROTECTED INVESTORS OF AMERICA
February 14, 2014 - March 27, 2014
GBS FINANCIAL CORP.
December 20, 2013 - December 31, 2013
GBS FINANCIAL CORP.
December 20, 2013 - February 11, 2014
GBS FINANCIAL CORP.
November 21, 2013 - March 25, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
January 15, 2004 - December 13, 2013
GBS FINANCIAL CORP.
January 14, 2002 - December 13, 2013
GBS FINANCIAL CORP.
February 14, 2001 - January 14, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 20, 1998 - February 14, 2001
SUTRO & CO. INCORPORATED
May 29, 1997 - January 21, 1998
EQIS SECURITIES, LLC
October 18, 1995 - January 14, 1997
MORGAN STANLEY DW 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.
