Scott W. Yen
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.
Scott Wei-chuan Yen, who also goes by Scott W. Yen, Scott Weichuan Yen, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2001. Scott had worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2018 - January 27, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
November 26, 2014 - July 3, 2017
B. RILEY WEALTH MANAGEMENT
January 13, 2005 - August 8, 2006
CAPSTONE PARTNERS
April 18, 2003 - August 27, 2003
PCF PROVIDENT CAPITAL MARKETS, INC.
May 24, 2001 - May 16, 2002
ANDERSEN CORPORATE FINANCE LLC
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
Current 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.
