Steven H. Neren
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.
Steven Henry Neren was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1968. Steven had worked at 9 firms and has passed the Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2015 - December 31, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
September 21, 2009 - October 30, 2015
BRILL SECURITIES, INC.
August 16, 2005 - September 28, 2009
MATRIX CAPITAL GROUP, INC.
January 15, 1992 - September 1, 2005
OPPENHEIMER & CO. INC.
December 16, 1991 - January 8, 1992
OPPENHEIMER & CO. INC.
October 14, 1991 - December 19, 1991
JOSEPHTHAL & CO., INC.
May 29, 1990 - October 23, 1991
JJC SECURITIES CO., INC.
July 12, 1977 - May 29, 1990
JSC SECURITIES, INC.
March 31, 1975 - July 20, 1977
LEHMAN BROTHERS INCORPORATED
November 2, 1971 - March 20, 1975
ABRAHAM & CO., INC.
April 30, 1968 - November 26, 1971
JSC 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/21/1994
AMEX Put and Call ExamSeries 1
Date: 4/26/1968
Registered Representative 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.
