Walter A. Ellis
Professional summary
Walter Allen Ellis was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Walter Allen Ellis was a registered financial advisor .
Walter is a previously registered financial advisor and started their career in finance in 1981. Walter had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2009 - December 31, 2009
WESTERN INTERNATIONAL SECURITIES, INC.
January 10, 2008 - January 12, 2009
FINANCIAL WEST GROUP
April 14, 2003 - July 31, 2007
NATIONAL SECURITIES CORPORATION
October 23, 2000 - April 16, 2003
MORGAN STANLEY DW INC.
August 14, 2000 - November 6, 2000
UBS FINANCIAL SERVICES INC.
June 6, 1997 - August 14, 2000
J.C. BRADFORD & CO.
November 23, 1994 - June 26, 1997
CITIGROUP GLOBAL MARKETS INC.
March 13, 1991 - April 16, 2003
MORGAN STANLEY DW INC.
July 3, 1989 - December 6, 1994
ADVEST, INC.
December 1, 1982 - July 13, 1989
MORGAN STANLEY DW INC.
December 24, 1981 - January 20, 1983
ANDERSON & STRUDWICK, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 3/1/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
