Gary J. Shemano
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.
Gary Jay Shemano was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 41, Series 1, Series 10, Series 24, Series 9, Series 40, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2017 - August 8, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
August 11, 2009 - September 26, 2017
GIRARD SECURITIES, INC.
January 20, 1994 - July 30, 2009
THE SHEMANO GROUP, INC.
November 5, 1990 - January 28, 1994
WELLS FARGO CLEARING SERVICES, LLC
March 22, 1978 - November 8, 1990
J.P. MORGAN SECURITIES LLC
February 11, 1975 - March 17, 1978
SUTRO & CO. INCORPORATED
January 5, 1971 - March 4, 1975
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
September 1, 1970 - February 11, 1971
BIRR, WILSON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 41
Date: 8/20/1983
NYSE Allied Member ExaminationSeries 1
Date: 8/20/1970
Registered Representative ExaminationSeries 40
Date: 12/16/1976
Registered Principal ExaminationSeries 12
Date: 11/29/1976
NYSE Branch Manager 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.
