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Nancy Ellen Cole
Nancy Ellen Hall
CRD#: 2900724
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 Sacramento, CA
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - Present (16 years)BINVESTORS RESOURCES GROUP, INC. (CRD# 45752)2003 - 2006 (3 years)BSTERLING FINANCIAL INVESTMENT ... (CRD# 41506)2002 - 2003 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2002 (5 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2002 (4 years)
Disclosure(s)
View By:
3/23/2023
Customer Dispute
Settled
6/15/2022
Civil
Final
9/26/2021
Customer Dispute
Settled
License(s)

State Registrations

IA
Alabama 2/26/2021

B
Oregon 8/28/2008

B
California 8/28/2008

B
Texas 10/26/2017

IA
California 8/29/2008

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
Sacramento, CA
Registered with this firm since 8/29/2008

B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
Sacramento, CA
Registered with this firm since 8/28/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/07/2006 - 09/02/2008 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SACRAMENTO, CA
B
07/17/2006 - 09/02/2008 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SACRAMENTO, CA
B
04/21/2003 - 07/17/2006 INVESTORS RESOURCES GROUP, INC. (CRD#:45752) VACAVILLE, CA
B
12/12/2002 - 04/23/2003 STERLING FINANCIAL INVESTMENT GROUP, INC. (CRD#:41506)
FINRA expelled the firm on 01/23/2008
BOCA RATON, FL
IA
08/24/1998 - 12/04/2002 MORGAN STANLEY (CRD#:7556) SACRAMENTO, CA
B
07/17/1997 - 12/04/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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Broker
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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.