Sabin W. Carr
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.
Sabin Wyatt Carr Jr., who also goes by Sabin William Wyatt Carr Jr., Sabin Wyatt Carr, Wyatt Carr Jr., Wyatt Carr, was a registered financial professional .
Sabin is a previously registered financial professional and started their career in finance in 1980. Sabin had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 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
January 18, 2017 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
June 1, 2016 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
April 23, 2015 - May 31, 2016
BOUSTEAD SECURITIES, LLC
March 26, 2015 - April 23, 2015
TCFG WEALTH MANAGEMENT, LLC
July 30, 2012 - March 18, 2015
BOUSTEAD SECURITIES, LLC
September 9, 2010 - August 2, 2012
CROWELL, WEEDON & CO.
September 23, 2005 - September 1, 2010
B. RILEY & CO., LLC
July 15, 2002 - September 14, 2005
THE SEIDLER COMPANIES INCORPORATED
July 18, 2001 - July 12, 2002
B. RILEY & CO., LLC
August 20, 1999 - July 3, 2001
ROTH CAPITAL PARTNERS, LLC
April 3, 1998 - July 31, 1999
HOAK BREEDLOVE WESNESKI & CO.
September 28, 1994 - May 4, 1998
WILLIAM K. WOODRUFF & COMPANY INCORPORATED
February 19, 1992 - October 17, 1994
RAUSCHER PIERCE REFSNES, INC.
December 9, 1988 - February 4, 1992
WILLIAM K. WOODRUFF & COMPANY INCORPORATED
August 11, 1986 - December 13, 1988
RAUSCHER PIERCE REFSNES, INC.
July 1, 1985 - August 7, 1986
M.S. ETHEREDGE & CO., INC.
January 20, 1984 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
January 13, 1984 - June 12, 1985
THOMSON MCKINNON SECURITIES INC.
May 23, 1980 - February 1, 1984
ROTAN MOSLE 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.
