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Detailed Report
Jeffrey Dwight Brandeen
CRD#: 2894744
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 70 S. Lake Ave.
Ste. 700
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 1998 (1 year)2 FIRMS2000 - 2006 (5 years)2 FIRMS2006 - 2006 (<1 year)IAWESTERN INTERNATIONAL SECURITIES (CRD# 39262)2010 - Present (14 years)BWESTERN INTERNATIONAL SECURITI... (CRD# 39262)2006 - Present (18 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1998 - 2000 (2 years)IAWESTERN INTERNATIONAL SECURITIES (CRD# 39262)2006 - 2007 (<1 year)
Disclosure(s)
View By:
12/8/2022
Customer Dispute
Denied
11/8/2017
Customer Dispute
Denied
12/14/2016
Customer Dispute
Denied
10/27/2016
Customer Dispute
Denied
9/13/2011
Judgment / Lien
3/6/2006
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 1/3/2023
IA
California 6/1/2010
IA
Arizona 1/3/2023
B
Minnesota 10/31/2006
B
California 10/31/2006
B
Wisconsin 12/12/2006

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 6/1/2010
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 10/31/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/27/2006 - 05/01/2007 WESTERN INTERNATIONAL SECURITIES (CRD#:39262) Pasadena, CA
IA
 03/24/2006 - 10/17/2006 FAHNESTOCK ASSET MANAGEMENT (CRD#:249) LOS ANGELES, CA
B
 03/24/2006 - 10/17/2006 OPPENHEIMER & CO. INC. (CRD#:249) LOS ANGELES, CA
IA
 11/30/2000 - 04/04/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
B
 11/10/2000 - 04/04/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 10/21/1998 - 11/30/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 06/20/1997 - 10/28/1998 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 06/20/1997 - 10/28/1998 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.