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Detailed Report
James Ronald Lo Coco
CRD#: 5421102
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 70 S. Lake Ave.
Ste. 700
Pasadena, CA 91101
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - 2020 (7 years)2 FIRMS2020 - Present (4 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2008 - 2009 (1 year)
License(s)

State Registrations

B
Arizona 11/13/2020
B
Maryland 11/13/2020
B
Arkansas 11/13/2020
B
Nevada 11/13/2020
B
California 11/13/2020
B
North Carolina 10/20/2021
IA
California 11/13/2020
B
Ohio 11/13/2020
B
Colorado 1/2/2024
B
Pennsylvania 1/2/2024
B
Delaware 7/9/2024
B
Texas 11/13/2020
B
Georgia 4/18/2022
IA
Texas 11/13/2020
B
Illinois 1/2/2024
B
Washington 11/13/2020

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)
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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
 06/01/2009 - 10/28/2013 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
B
 06/01/2009 - 10/28/2013 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
IA
 01/02/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 11/01/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, 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.