Dennis A. Mehringer
Professional summary
Dennis Albert Mehringer JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Dennis had worked at 11 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., FIRST ALLIED SECURITIES INC., FSC SECURITIES CORPORATION, WALNUT STREET SECURITIES INC., UNITED PACIFIC SECURITIES INC., NEW ENGLAND SECURITIES, U.S. SECURITIES CLEARING CORP., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, GUARDIAN INVESTOR SERVICES LLC, 1717 CAPITAL MANAGEMENT COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2015 - May 7, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
March 16, 2009 - May 7, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
May 11, 2004 - March 18, 2009
FIRST ALLIED SECURITIES, INC.
May 11, 2004 - March 18, 2009
FIRST ALLIED SECURITIES, INC.
March 28, 2002 - June 21, 2004
FSC SECURITIES CORPORATION
August 9, 2001 - June 21, 2004
FSC SECURITIES CORPORATION
October 6, 1995 - September 4, 2001
WALNUT STREET SECURITIES, INC.
June 7, 1994 - October 24, 1994
UNITED PACIFIC SECURITIES, INC.
October 19, 1992 - January 19, 1994
NEW ENGLAND SECURITIES
March 26, 1991 - February 11, 1992
U.S. SECURITIES CLEARING CORP.
June 6, 1990 - February 8, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 6, 1990 - February 8, 1996
EQUITABLE ADVISORS, LLC
June 16, 1987 - March 6, 1989
GUARDIAN INVESTOR SERVICES LLC
September 7, 1984 - May 20, 1987
1717 CAPITAL MANAGEMENT COMPANY
February 2, 1981 - October 1, 1984
NEW ENGLAND SECURITIES
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
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