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Daniel Joseph Warren
CRD#: 3163076
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 2555 Townsgate Rd.
Ste. 300
Westlake Village, CA 91361
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2010 (2 years)2 FIRMS2010 - Present (14 years)BPRUCO SECURITIES, LLC. (CRD# 5685)1999 - 2007 (8 years)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2001 - 2007 (6 years)
Disclosure(s)
View By:
6/4/2010
Employment Separation After Allegations
License(s)

State Registrations

B
California 6/14/2010

B
Massachusetts 11/18/2024

IA
California 6/15/2010

B
New York 5/10/2012

IA
Illinois 1/21/2021

IA
Virginia 5/13/2021

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 6/15/2010

B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
2555 Townsgate Rd. Ste. 300, Westlake Village, CA 91361
Registered with this firm since 6/14/2010

Previous Registration(s)
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IA
12/18/2007 - 06/29/2010 LPL FINANCIAL CORPORATION (CRD#:6413) SHERMAN OAKS, CA
B
12/18/2007 - 06/29/2010 LPL FINANCIAL CORPORATION (CRD#:6413) SHERMAN OAKS, CA
IA
04/09/2001 - 12/18/2007 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) SHERMAN OAKS, CA
B
01/15/1999 - 12/18/2007 PRUCO SECURITIES, LLC. (CRD#:5685) SHERMAN OAKS, CA
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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.