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Detailed Report
Karen Tran Chung
CRD#: 4158413
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 70 S. Lake Ave.
Ste. 700
Pasadena, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - Present (17 years)BOMNI BROKERAGE, INC. (CRD# 16878)2005 - 2007 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2001 (1 year)
Disclosure(s)
View By:
2/16/2022
Customer Dispute
Settled
License(s)

State Registrations

B
California 11/12/2007
IA
California 11/13/2007

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 11/13/2007
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 11/12/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/03/2007 - 11/13/2007 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) PASADENA, CA
B
 07/03/2007 - 11/13/2007 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) PASADENA, CA
B
 04/13/2005 - 07/02/2007 OMNI BROKERAGE, INC. (CRD#:16878) PASADENA, CA
B
 06/26/2000 - 09/06/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, 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.