Steve P. Andersen
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.
Steve P. Andersen, who also goes by Steve P Andersen, Steve Peter Andersen, Steven Andersen, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 2004. Steve had worked at 6 firms and has passed the Series 66, SIE 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
January 29, 2021 - January 3, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
January 28, 2021 - January 3, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
October 1, 2012 - February 17, 2021
J.P. MORGAN SECURITIES LLC
October 1, 2012 - February 17, 2021
J.P. MORGAN SECURITIES LLC
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 7, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
February 7, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
January 26, 2006 - January 10, 2008
M&I FINANCIAL ADVISORS, INC
November 19, 2004 - September 22, 2005
WELLS FARGO INVESTMENTS, LLC
November 11, 2004 - September 22, 2005
WELLS FARGO INVESTMENTS, 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.
