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Investment Adviser Firm Summary

WESTERN INTERNATIONAL SECURITIES, INC. (CRD# 39262 / SEC# 8-48572, 801-68953)
Alternate Names: WESTERN INTERNATIONAL SECURITIES , WESTERN INTERNATIONAL SECURITIES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/31/2008
Alaska Terminated 10/30/2008
Arizona Terminated 10/30/2008
Arkansas Terminated 10/30/2008
California Terminated 09/03/2008
Colorado Terminated 11/10/2008
Connecticut Terminated 09/03/2008
Delaware Terminated 02/17/2006
District of Columbia Terminated 02/17/2006
Florida Terminated 10/30/2008
Georgia Terminated 02/17/2006
Idaho Terminated 02/22/2006
Illinois Terminated 03/31/2008
Indiana Terminated 02/17/2006
Iowa Terminated 10/30/2008
Kentucky Terminated 02/21/2006
Maine Terminated 02/17/2006
Maryland Terminated 02/17/2006
Mississippi Terminated 02/17/2006
Missouri Terminated 02/17/2006
Nebraska Terminated 03/27/2006
Nevada Terminated 11/30/2008
New Hampshire Terminated 02/17/2006
New Mexico Terminated 02/17/2006
New York Terminated 02/17/2006
North Carolina Terminated 02/17/2006
North Dakota Terminated 02/21/2006
Ohio Terminated 02/17/2006
Oregon Terminated 03/31/2008
Pennsylvania Terminated 04/23/2008
Puerto Rico Terminated 02/14/2006
Rhode Island Terminated 02/17/2006
South Carolina Terminated 02/17/2006
South Dakota Terminated 02/17/2006
Tennessee Terminated 03/19/2006
Texas Terminated 09/03/2008
Utah Terminated 02/17/2006
Vermont Terminated 02/21/2006
Virginia Terminated 05/13/2008
Washington Terminated 04/23/2008
Wisconsin Terminated 10/30/2008
Wyoming Termination Requested 12/21/2017

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 11/21/2016
Alaska 03/31/2008
Arizona 03/31/2008
Arkansas 11/07/2012
California 07/30/2007
Colorado 03/31/2008
Connecticut 03/31/2008
Delaware 04/02/2014
District of Columbia 04/05/2010
Florida 03/31/2008
Georgia 03/31/2008
Hawaii 03/31/2008
Idaho 05/07/2018
Illinois 03/31/2008
Indiana 03/31/2008
Iowa 04/03/2008
Kansas 10/13/2014
Louisiana 08/27/2014
Maine 11/07/2012
Maryland 03/31/2008
Massachusetts 03/31/2008
Michigan 03/31/2008
Minnesota 03/31/2008
Missouri 01/13/2012
Montana 01/13/2012
Nebraska 10/03/2017
Nevada 03/31/2008
New Hampshire 12/14/2016
New Jersey 04/03/2008
New Mexico 01/13/2012
New York 03/31/2008
North Carolina 03/31/2008
Ohio 03/31/2008
Oklahoma 10/29/2013
Oregon 03/31/2008
Pennsylvania 03/31/2008
Rhode Island 03/13/2012
South Carolina 01/13/2012
Tennessee 03/31/2008
Texas 03/31/2008
Utah 03/31/2008
Vermont 10/24/2016
Virginia 03/31/2008
Washington 03/31/2008
Wisconsin 05/13/2009
Wyoming 10/03/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser