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Detailed Report
Flavia Dolores Lo Coco
Flavia Dolores Iezza, Flavia Lo Coco
CRD#: 4845948
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 70 S. Lake Ave.
Ste. 700
Pasadena, CA 91101
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - 2010 (2 years)2 FIRMS2010 - 2013 (3 years)2 FIRMS2013 - 2020 (7 years)2 FIRMS2020 - Present (4 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)2004 - 2005 (1 year)
Disclosure(s)
View By:
5/16/2017
Customer Dispute
Denied
4/16/2008
Customer Dispute
Denied
8/7/2006
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 11/13/2020
B
Maryland 11/16/2020
B
Arkansas 11/16/2020
B
Nevada 12/22/2020
B
California 11/13/2020
B
North Carolina 10/21/2021
IA
California 11/13/2020
B
Ohio 11/15/2020
B
Colorado 1/2/2024
B
Pennsylvania 1/2/2024
B
Delaware 7/9/2024
IA
Texas 11/14/2020
B
Georgia 4/18/2022
B
Texas 11/17/2020
B
Illinois 1/2/2024
B
Washington 1/5/2021

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 11/13/2020
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 11/13/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/21/2013 - 12/11/2020 RJJ PASADENA SECURITIES, INC. (CRD#:8425) SOUTH PASADENA, CA
B
 10/21/2013 - 12/11/2020 RJJ PASADENA SECURITIES, INC. (CRD#:8425) SOUTH PASADENA, CA
IA
 03/16/2010 - 10/28/2013 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
B
 03/12/2010 - 10/28/2013 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
IA
 05/29/2007 - 03/18/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MONROVIA, CA
B
 05/29/2007 - 03/18/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MONROVIA, CA
IA
 05/01/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) MONROVIA, CA
B
 01/13/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) MONROVIA, CA
B
 10/29/2004 - 11/01/2005 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, 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.