• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Douglas Cy Waisner
Doug C. Waisner, Douglas C. Waisner
CRD#: 1280998
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 2555 Townsgate Rd.
Ste. 300
Westlake Village, CA 91361
Registration History
19801985199019952000200520102015202020252 FIRMS2008 - Present (16 years)BFINANCIAL WEST GROUP (CRD# 16668)1991 - 2008 (16 years)BOPPENHEIMER & CO., INC. (CRD# 630)1988 - 1991 (3 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1984 - 1988 (4 years)IAFINANCIAL WEST GROUP (CRD# 16668)1997 - 2008 (10 years)
Disclosure(s)
View By:
12/22/2023
Customer Dispute
Settled
7/21/2011
Customer Dispute
Settled
5/27/2008
Employment Separation After Allegations
9/14/1994
Customer Dispute
Award / Judgment
9/9/1994
Customer Dispute
Settled
5/6/1976
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 3/21/2019

B
Oklahoma 3/30/2020

B
California 5/27/2008

B
Texas 3/30/2020

IA
California 5/27/2008

IA
Texas 8/30/2023

B
Nevada 5/27/2008

B
Washington 7/9/2013

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 5/27/2008

B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
2555 Townsgate Rd. Ste. 300, Westlake Village, CA 91361
Registered with this firm since 5/27/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/08/1997 - 06/26/2008 FINANCIAL WEST GROUP (CRD#:16668) WESTLAKE VILLAGE, CA
B
11/18/1991 - 06/26/2008 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
WESTLAKE VILLAGE, CA
B
11/21/1988 - 11/13/1991 OPPENHEIMER & CO., INC. (CRD#:630) NEW YORK, NY
B
07/26/1984 - 12/14/1988 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
For additional information about investment advisers or broker-dealers, please visit
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.