Elisabeth G. Schuermann
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.
Elisabeth Grisso Schuermann, who also goes by Elisabeth Grisso Schuermann, Elizabeth Grisso Schuermann, Lisa Schuermann, was a registered financial professional .
Elisabeth is a previously registered financial professional and started their career in finance in 1995. Elisabeth had worked at 13 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6 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
March 14, 2025 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
March 14, 2025 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
March 14, 2025 - August 1, 2025
SCF SECURITIES, INC.
March 14, 2025 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
March 14, 2025 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
March 14, 2025 - August 1, 2025
CADARET, GRANT & CO., INC.
January 13, 2021 - August 1, 2025
GROVE POINT INVESTMENTS, LLC
March 25, 2017 - June 4, 2019
MML INVESTORS SERVICES, LLC
January 23, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
October 6, 2005 - July 31, 2013
BB&T INVESTMENT SERVICES, INC.
October 1, 2000 - September 30, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 7, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
November 21, 1995 - September 4, 1998
CRESTAR SECURITIES 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional 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.
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