Cedric E. Levye
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.
Cedric Earl Levye, who also goes by Cedric Earl Levye, Cedric Levye, was a registered financial professional .
Cedric is a previously registered financial professional and started their career in finance in 2014. Cedric had worked at 26 firms and has passed the Series 63, Series 82TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2024 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
March 1, 2024 - August 1, 2025
SCF SECURITIES, INC.
January 22, 2024 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
January 22, 2024 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
January 22, 2024 - August 1, 2025
GROVE POINT INVESTMENTS, LLC
January 22, 2024 - August 1, 2025
CADARET, GRANT & CO., INC.
March 3, 2023 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
February 9, 2023 - December 19, 2024
IFP SECURITIES, LLC
June 1, 2022 - August 12, 2022
FENNEL
April 8, 2022 - May 27, 2022
QUASAR DISTRIBUTORS, LLC
April 8, 2022 - May 27, 2022
ORBIS INVESTMENTS (U.S.), LLC
April 8, 2022 - May 27, 2022
MGI FUNDS DISTRIBUTORS, LLC
April 8, 2022 - May 27, 2022
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
April 8, 2022 - May 27, 2022
IMST DISTRIBUTORS, LLC
April 8, 2022 - May 27, 2022
FUNDS DISTRIBUTOR, LLC
April 8, 2022 - May 27, 2022
FORESIDE GLOBAL SERVICES, LLC
April 8, 2022 - May 27, 2022
FORESIDE FUNDS DISTRIBUTORS LLC
April 8, 2022 - May 27, 2022
FORESIDE FUND SERVICES, LLC
April 8, 2022 - May 27, 2022
FORESIDE FINANCIAL SERVICES, LLC
April 8, 2022 - May 27, 2022
FORESIDE DISTRIBUTION SERVICES, L.P.
April 8, 2022 - May 27, 2022
COMPASS DISTRIBUTORS, LLC
September 19, 2019 - December 20, 2019
ALTRUIST FINANCIAL LLC
December 17, 2018 - February 2, 2022
GROWTH CAPITAL SERVICES, INC.
October 2, 2018 - December 20, 2018
PEAK BROKERAGE SERVICES, LLC
December 22, 2014 - September 7, 2016
NATIONAL PLANNING CORPORATION
May 13, 2014 - December 23, 2014
INDEPENDENT FINANCIAL GROUP, 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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent 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.
