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Detailed Report
Registration History
19801985199019952000200520102015202020252 FIRMS1989 - 2003 (14 years)IAWESTERN INTERNATIONAL SECURITIES (CRD# 39262)2012 - Present (12 years)BWESTERN INTERNATIONAL SECURITI... (CRD# 39262)2003 - Present (21 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1984 - 1989 (4 years)BBATEMAN EICHLER, HILL RICHARDS... (CRD# 76)1984 - 1984 (<1 year)IAWESTERN INTERNATIONAL SECURITIES (CRD# 39262)2005 - 2007 (1 year)
Disclosure(s)
View By:
4/5/1978
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 11/26/2003
B
Nevada 11/26/2024
B
California 11/26/2003
B
New Jersey 2/5/2024
IA
California 11/13/2012
B
New York 2/7/2024
B
Colorado 9/28/2006
B
Oregon 7/30/2004
B
Florida 12/2/2024
B
Utah 2/6/2023
B
Hawaii 3/28/2011
B
Washington 11/26/2003
B
Idaho 12/7/2023
B
Wisconsin 12/5/2024
B
Missouri 11/26/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
Phoenix, AZ
Registered with this firm since 11/13/2012
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
Phoenix, AZ
Registered with this firm since 11/26/2003
Previous Registration(s)
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IA
 12/13/2005 - 05/01/2007 WESTERN INTERNATIONAL SECURITIES (CRD#:39262) Glendale, CA
IA
 04/25/1989 - 12/15/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
B
 04/21/1989 - 12/15/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 08/27/1984 - 04/04/1989 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471)
B
 04/18/1984 - 08/10/1984 BATEMAN EICHLER, HILL RICHARDS, INCORPORATED (CRD#:76)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.