Asher Plaut
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.
Asher Plaut was a registered financial professional .
Asher is a previously registered financial professional and started their career in finance in 1963. Asher had worked at 6 firms and has passed the Series 63, 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 23, 2015 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
January 20, 1996 - October 30, 2015
BRILL SECURITIES, INC.
October 25, 1989 - January 5, 1996
GRUNTAL & CO., L.L.C.
June 26, 1974 - October 25, 1989
LADENBURG THALMANN & CO. INC.
July 18, 1972 - July 13, 1974
JAS. H. OLIPHANT & CO., INC.
May 17, 1963 - August 10, 1972
STEINER, ROUSE & CO., 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: 9/6/1977
AMEX Put and Call ExamSeries 1
Date: 5/14/1963
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.
