Eric Villegas
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.
Eric Villegas was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2003. Eric had worked at 5 firms and has passed the Series 66, Series 31 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 28, 2008 - November 7, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
May 27, 2008 - November 7, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
June 2, 2005 - June 20, 2008
FINANCIAL WEST GROUP
June 2, 2005 - June 20, 2008
FINANCIAL WEST GROUP
August 20, 2004 - June 7, 2005
MML INVESTORS SERVICES, LLC
July 13, 2004 - June 7, 2005
MML INVESTORS SERVICES, LLC
December 8, 2003 - May 4, 2004
MORGAN STANLEY DW INC.
October 23, 2003 - May 4, 2004
MORGAN STANLEY DW INC.
August 28, 2003 - November 10, 2003
THE SHEMANO GROUP, 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
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.
