Arthur G. Edelman
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.
Arthur Gary Edelman was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1970. Arthur had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - November 28, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
February 2, 2015 - August 21, 2017
FINANCIAL WEST GROUP
August 2, 2000 - February 10, 2015
UBS FINANCIAL SERVICES INC.
July 21, 2000 - February 10, 2015
UBS FINANCIAL SERVICES INC.
June 1, 2000 - August 2, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 21, 1984 - June 9, 2000
UBS FINANCIAL SERVICES INC.
July 28, 1982 - March 7, 1984
RAUSCHER PIERCE REFSNES, INC.
June 14, 1976 - July 19, 1982
MEYERS SECURITIES CORPORATION
January 7, 1976 - May 9, 1976
JSC SECURITIES, INC.
July 5, 1974 - November 10, 1975
HAPOALIM SECURITIES USA, INC.
November 16, 1971 - July 5, 1974
D. H. BLAIR & COMPANY
January 26, 1970 - December 5, 1971
STERN, FRANK, MEYER & FOX, INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/2/1978
AMEX Put and Call ExamSeries 1
Date: 3/30/1960
Registered Representative ExaminationCurrent 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.
