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Alex Boyd Mathis
CRD#: 2235598
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 2555 Townsgate Rd.
Ste. 300
Westlake Village, CA 91361
Registration History
19952000200520102015202020252 FIRMS2008 - 2011 (3 years)2 FIRMS2011 - Present (13 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2008 (7 years)BINTERFIRST CAPITAL CORPORATION (CRD# 7659)2000 - 2000 (<1 year)BSAN CLEMENTE FINANCIAL GROUP S... (CRD# 21895)1994 - 1995 (<1 year)BAEGON USA SECURITIES INC. (CRD# 13302)1992 - 1993 (<1 year)BTHE TRADING DESK, INC. (CRD# 22908)1992 - 1992 (<1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2001 - 2008 (7 years)
Disclosure(s)
View By:
6/1/2023
Customer Dispute
Settled
5/23/2022
Customer Dispute
Settled
5/17/2018
Customer Dispute
Denied
12/8/2009
Customer Dispute
Settled
6/25/2009
Customer Dispute
Denied
License(s)

State Registrations

IA
California 11/15/2011

B
Florida 9/27/2013

B
California 11/16/2011

B
Washington 4/9/2019

IA
Florida 9/26/2013

IA
Washington 4/9/2019

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 11/15/2011

B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
2555 Townsgate Rd. Ste. 300, Westlake Village, CA 91361
Registered with this firm since 11/16/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/14/2008 - 11/22/2011 LPL FINANCIAL LLC (CRD#:6413) WESTLAKE VILLAGE, CA
B
11/14/2008 - 11/22/2011 LPL FINANCIAL LLC (CRD#:6413) WESTLAKE VILLAGE, CA
IA
03/29/2001 - 11/18/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WESTLAKE VILLAGE, CA
B
12/20/2000 - 11/18/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WESTLAKE VILLAGE, CA
B
06/09/2000 - 10/17/2000 INTERFIRST CAPITAL CORPORATION (CRD#:7659) LOS ANGELES, CA
B
04/20/1994 - 01/18/1995 SAN CLEMENTE FINANCIAL GROUP SECURITIES, INC. (CRD#:21895)
FINRA expelled the firm on 11/14/2000
B
10/08/1992 - 06/07/1993 AEGON USA SECURITIES INC. (CRD#:13302)
B
04/23/1992 - 10/30/1992 THE TRADING DESK, INC. (CRD#:22908)
FINRA expelled the firm on 02/27/1997
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.