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Investment Adviser Firm Summary
WESTERN INTERNATIONAL SECURITIES ( CRD # 39262/SEC#:801-68953,8-48572 )
WESTERN INTERNATIONAL SECURITIES, WESTERN INTERNATIONAL SECURITIES, INC.
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved3/31/2008
AlaskaTerminated10/30/2008
ArizonaTerminated10/30/2008
ArkansasTerminated10/30/2008
CaliforniaTerminated9/3/2008
ColoradoTerminated11/10/2008
ConnecticutTerminated9/3/2008
DelawareTerminated2/17/2006
District of ColumbiaTerminated2/17/2006
FloridaTerminated10/30/2008
GeorgiaTerminated2/17/2006
IdahoTerminated2/22/2006
IllinoisTerminated3/31/2008
IndianaTerminated2/17/2006
IowaTerminated10/30/2008
KentuckyTerminated2/21/2006
MaineTerminated2/17/2006
MarylandTerminated2/17/2006
MississippiTerminated2/17/2006
MissouriTerminated2/17/2006
NebraskaTerminated3/27/2006
NevadaTerminated11/30/2008
New HampshireTerminated2/17/2006
New MexicoTerminated2/17/2006
New YorkTerminated2/17/2006
North CarolinaTerminated2/17/2006
North DakotaTerminated2/21/2006
OhioTerminated2/17/2006
OregonTerminated3/31/2008
PennsylvaniaTerminated4/23/2008
Puerto RicoTerminated2/14/2006
Rhode IslandTerminated2/17/2006
South CarolinaTerminated2/17/2006
South DakotaTerminated2/17/2006
TennesseeTerminated3/19/2006
TexasTerminated9/3/2008
UtahTerminated2/17/2006
VermontTerminated2/21/2006
VirginiaTerminated5/13/2008
WashingtonTerminated4/23/2008
WisconsinTerminated10/30/2008
WyomingTerminated12/21/2017
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.

JURISDICTIONEFFECTIVE DATE
Alabama11/21/2016
Alaska3/31/2008
Arizona3/31/2008
Arkansas11/7/2012
California7/30/2007
Colorado3/31/2008
Connecticut3/31/2008
Delaware4/2/2014
District of Columbia4/5/2010
Florida3/31/2008
Georgia3/31/2008
Hawaii3/31/2008
Idaho5/7/2018
Illinois3/31/2008
Indiana3/31/2008
Iowa4/3/2008
Kansas10/13/2014
Kentucky5/18/2021
Louisiana8/27/2014
Maine11/7/2012
Maryland3/31/2008
Massachusetts3/31/2008
Michigan3/31/2008
Minnesota3/31/2008
Mississippi3/31/2023
Missouri1/13/2012
Montana1/13/2012
Nebraska10/3/2017
Nevada3/31/2008
New Hampshire12/14/2016
New Jersey4/3/2008
New Mexico1/13/2012
New York3/31/2008
North Carolina3/31/2008
North Dakota2/9/2021
Ohio3/31/2008
Oklahoma10/29/2013
Oregon3/31/2008
Pennsylvania3/31/2008
Puerto Rico3/28/2024
Rhode Island3/13/2012
South Carolina1/13/2012
South Dakota6/14/2019
Tennessee3/31/2008
Texas3/31/2008
Utah3/31/2008
Vermont10/24/2016
Virgin Islands7/29/2019
Virginia3/31/2008
Washington3/31/2008
West Virginia3/30/2020
Wisconsin5/13/2009
Wyoming10/3/2017
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.