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Richard Howard Case
CRD#: 1235220
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 2555 Townsgate Rd.
Ste. 300
Westlake Village, CA 91361
Registration History
1985199019952000200520102015202020252 FIRMS2005 - 2006 (1 year)2 FIRMS2008 - Present (16 years)BCROWELL, WEEDON & CO. (CRD# 193)2006 - 2008 (1 year)BWACHOVIA SECURITIES, LLC (CRD# 19616)1990 - 2005 (14 years)BBATEMAN EICHLER, HILL RICHARDS... (CRD# 76)1985 - 1990 (5 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1984 - 1985 (1 year)IACROWELL, WEEDON & CO. (CRD# 193)2007 - 2008 (1 year)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2005 (1 year)
Disclosure(s)
View By:
3/25/2024
Customer Dispute
Withdrawn
License(s)

State Registrations

B
Alabama 9/22/2010

B
Mississippi 11/16/2023

B
Arizona 9/22/2010

B
Nevada 10/20/2008

B
Arkansas 8/19/2024

B
New Hampshire 10/20/2008

B
California 10/20/2008

B
New Jersey 2/14/2024

IA
California 10/21/2008

B
North Carolina 10/16/2024

B
Colorado 10/20/2008

B
Ohio 4/29/2024

B
Connecticut 7/26/2024

B
Oklahoma 2/6/2024

B
Florida 12/26/2023

B
Rhode Island 1/10/2024

B
Georgia 5/28/2024

B
South Carolina 10/30/2023

B
Hawaii 10/20/2008

B
Texas 5/5/2016

B
Louisiana 2/16/2024

IA
Texas 10/13/2023

IA
Louisiana 2/19/2024

B
Utah 10/20/2008

B
Massachusetts 9/24/2024

B
Washington 10/20/2008

B
Michigan 10/20/2008

B
Wyoming 7/26/2024

B
Minnesota 9/24/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
2555 Townsgate Rd. Ste. 300, Westlake Village, CA 91361
Registered with this firm since 10/21/2008

B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
2555 Townsgate Rd. Ste. 300, Westlake Village, CA 91361
Registered with this firm since 10/20/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2007 - 10/28/2008 CROWELL, WEEDON & CO. (CRD#:193) WESTLAKE VILLAGE, CA
B
12/06/2006 - 10/28/2008 CROWELL, WEEDON & CO. (CRD#:193) WESTLAKE VILLAGE, CA
IA
10/19/2005 - 12/07/2006 SEIDLER INVESTMENT ADVISORS INCORPORATED (CRD#:107778) WESTLAKE VILLAGE, CA
B
03/16/2005 - 12/07/2006 THE SEIDLER COMPANIES INCORPORATED (CRD#:3911) WESTLAKE VILLAGE, CA
IA
05/13/2003 - 02/28/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) WESTLAKE VILLAGE, CA
B
09/04/1990 - 02/28/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
09/23/1985 - 09/04/1990 BATEMAN EICHLER, HILL RICHARDS, INCORPORATED (CRD#:76)
B
02/24/1984 - 09/30/1985 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555)
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B
Broker
IA
Investment Adviser
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.