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Detailed Report
Hiroshi Mizutani
CRD#: 3259903
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 70 S. Lake Ave.
Ste. 700
Pasadena, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420263 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2015 (7 years)2 FIRMS2015 - Present (9 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2005 - 2007 (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2003 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)1999 - 2001 (2 years)
Disclosure(s)
View By:
7/30/2024
Customer Dispute
Pending
License(s)

State Registrations

B
California 7/17/2015
B
Illinois 11/29/2022
IA
California 7/17/2015
B
New Jersey 4/5/2017
B
Delaware 1/14/2016
B
New York 7/17/2015
B
Hawaii 7/17/2015
B
Washington 7/17/2015

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 7/17/2015
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 7/17/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/01/2007 - 07/20/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 10/01/2007 - 07/20/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
IA
 05/29/2007 - 09/10/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 05/29/2007 - 09/10/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
IA
 01/01/2007 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) NEW YORK, NY
B
 10/10/2005 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) NEW YORK, NY
B
 11/27/2002 - 12/16/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 08/11/1999 - 10/18/2001 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
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.