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Detailed Report
Andrew C. Kuo
Andrew C Kuo, Andrew Kuo
CRD#: 4415637
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 70 S. Lake Ave.
Ste. 700
Pasadena, CA 91101
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2007 - Present (17 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)2005 - 2007 (2 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2003 - 2004 (1 year)
License(s)

State Registrations

B
Arizona 2/25/2021
B
Michigan 1/23/2024
B
California 6/27/2007
B
Missouri 5/30/2008
IA
California 11/12/2007
B
Nevada 8/29/2011
B
Colorado 7/20/2023
B
New Jersey 5/30/2008
B
Connecticut 5/30/2008
B
North Carolina 6/14/2024
B
Delaware 12/17/2024
B
Oregon 7/19/2023
B
District of Columbia 5/30/2008
IA
Texas 2/18/2021
B
Florida 2/23/2021
B
Texas 2/22/2021
B
Hawaii 3/6/2024
B
Virginia 2/23/2021
B
Kansas 5/30/2008
B
Wisconsin 1/13/2023
B
Massachusetts 5/30/2008

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 11/12/2007
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 6/27/2007
Previous Registration(s)
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B
 01/13/2005 - 06/19/2007 WM FINANCIAL SERVICES, INC. (CRD#:599) FULLERTON, CA
B
 08/25/2003 - 11/04/2004 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
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.