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Frederick Morton Woolley
Fred Woolley
CRD#: 1444168
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 300 E. State St.
Ste. 504
Redlands, CA 92373
Registration History
199019952000200520102015202020252 FIRMS2017 - Present (7 years)BFINANCIAL WEST GROUP (CRD# 16668)1999 - 2017 (17 years)BSUNPOINT SECURITIES, INC. (CRD# 25442)1998 - 1999 (1 year)BTITAN/VALUE EQUITIES GROUP, INC. (CRD# 6359)1990 - 1995 (5 years)BMANEQUITY, INC. (CRD# 5249)1986 - 1990 (4 years)BCAPITAL ALLIANCE INVESTMENTS I... (CRD# 10225)1989 - 1990 (1 year)BANCHOR NATIONAL FINANCIAL SERV... (CRD# 5774)1987 - 1988 (1 year)IAFINANCIAL WEST GROUP (CRD# 16668)2001 - 2017 (16 years)
Disclosure(s)
View By:
8/28/1998
Regulatory
Final
7/16/1998
Regulatory
Final
11/12/1996
Regulatory
Final
5/12/1995
Employment Separation After Allegations
2/2/1995
Regulatory
Final
License(s)

State Registrations

B
Alabama 1/28/2025

B
Montana 8/21/2017

B
Alaska 8/21/2017

B
Nevada 8/21/2017

B
Arizona 8/21/2017

B
New Mexico 8/21/2017

B
Arkansas 11/3/2021

B
North Dakota 3/18/2024

B
California 8/21/2017

B
Ohio 1/20/2023

IA
California 8/21/2017

B
Oklahoma 6/25/2021

B
Colorado 8/21/2017

B
Oregon 8/21/2017

B
Florida 8/21/2017

B
Tennessee 8/21/2017

B
Georgia 8/21/2017

B
Texas 8/21/2017

B
Illinois 5/30/2019

IA
Texas 8/21/2017

B
Indiana 8/21/2017

B
Virginia 8/21/2017

B
Kansas 11/26/2024

B
Washington 8/21/2017

B
Missouri 12/18/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
300 E. State St. Ste. 504, Redlands, CA 92373
Registered with this firm since 8/21/2017

B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
300 E. State St. Ste. 504, Redlands, CA 92373
Registered with this firm since 8/21/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/15/2001 - 08/21/2017 FINANCIAL WEST GROUP (CRD#:16668) Redlands, CA
B
12/15/1999 - 08/21/2017 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
Redlands, CA
B
02/19/1998 - 11/19/1999 SUNPOINT SECURITIES, INC. (CRD#:25442) LONGVIEW, TX
B
02/20/1990 - 05/17/1995 TITAN/VALUE EQUITIES GROUP, INC. (CRD#:6359) IRVINE, CA
B
02/19/1986 - 02/24/1990 MANEQUITY, INC. (CRD#:5249) BOSTON, MA
B
02/27/1989 - 02/15/1990 CAPITAL ALLIANCE INVESTMENTS INCORPORATED (CRD#:10225) IRVINE, CA
B
10/06/1987 - 10/10/1988 ANCHOR NATIONAL FINANCIAL SERVICES, INC. (CRD#:5774)
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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.