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Timothy Jay Gandy
CRD#: 2529848
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 2555 Townsgate Rd.
Ste. 300
Westlake Village, CA 91361
Registration History
19952000200520102015202020252 FIRMS2003 - 2009 (5 years)2 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2014 (1 year)2 FIRMS2013 - Present (11 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1994 - 2003 (9 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - 2003 (6 years)
Disclosure(s)
View By:
12/12/2013
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 5/30/2014

B
Ohio 1/22/2014

IA
Arizona 8/9/2019

IA
Ohio 1/22/2014

B
California 12/16/2013

B
South Carolina 11/29/2023

IA
California 12/16/2013

B
Texas 5/24/2021

B
Florida 1/3/2024

IA
Texas 5/24/2021

B
Nevada 12/16/2013

B
Utah 3/14/2024

IA
Nevada 12/24/2013

B
Washington 12/16/2013

B
North Carolina 10/16/2024

IA
Washington 3/3/2014

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 12/16/2013

B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
2555 Townsgate Rd. Ste. 300, Westlake Village, CA 91361
Registered with this firm since 12/16/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/01/2012 - 01/10/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) WESTLAKE VILLAGE, CA
B
10/01/2012 - 01/10/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) WESTLAKE VILLAGE, CA
IA
09/14/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) VENTURA, CA
B
09/13/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) VENTURA, CA
IA
06/01/2009 - 09/13/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) MONTECITO, CA
B
06/01/2009 - 09/13/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) MONTECITO, CA
IA
11/10/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MONTECITO, CA
B
11/10/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MONTECITO, CA
IA
07/08/1997 - 12/05/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) OXNARD, CA
B
10/14/1994 - 12/05/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
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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.