Stephanie A. Alton
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.
Stephanie Ann Alton, who also goes by Stephanie A. Alton, Stephanie Alton, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2008. Stephanie had worked at 3 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 2, 2015 - March 1, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
February 14, 2014 - December 31, 2014
GBS FINANCIAL CORP.
December 23, 2013 - December 31, 2013
GBS FINANCIAL CORP.
December 20, 2013 - February 11, 2014
GBS FINANCIAL CORP.
November 18, 2013 - March 1, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
August 29, 2008 - December 13, 2013
GBS FINANCIAL CORP.
August 28, 2008 - December 13, 2013
GBS FINANCIAL CORP.
July 22, 2008 - August 29, 2008
ASSOCIATED SECURITIES CORP.
July 22, 2008 - August 29, 2008
ASSOCIATED SECURITIES CORP.
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.
