Sanford Perlin
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.
Sanford Perlin was a registered financial professional .
Sanford is a previously registered financial professional and started their career in finance in 1964. Sanford had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 5, PC, Series 000, Series 1 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
August 26, 2014 - December 31, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
March 8, 2013 - December 31, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
June 13, 2005 - December 31, 2012
FIRST ALLIED SECURITIES, INC.
March 10, 2004 - December 23, 2009
KLEOS CAPITAL MANAGEMENT, INC.
May 10, 2000 - June 13, 2005
ROUND HILL SECURITIES, INC.
September 16, 1977 - June 21, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 2, 1965 - February 27, 1976
BACHE & CO., INCORPORATED
December 21, 1964 - May 22, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 10/5/1981
Interest Rate Options ExaminationPC
Date: 5/30/1979
AMEX Put and Call ExamSeries 000
Date: 12/21/1964
General Securities Principal ExaminationSeries 1
Date: 12/21/1964
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.
