Clement L. Chichester
Professional summary
Clement Lancelot Chichester was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Clement is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Clement had worked at 13 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., U.S. BANCORP INVESTMENTS INC., CETERA INVESTMENT SERVICES LLC, CUNA BROKERAGE SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., FINANCIAL WEST GROUP, NATIONAL PLANNING CORPORATION, U.S. BANCORP ADVISORS LLC, WAMU INVESTMENTS INC., BA INVESTMENT SERVICES INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2012 - October 5, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
June 22, 2010 - October 17, 2011
U.S. BANCORP INVESTMENTS, INC.
June 18, 2010 - October 17, 2011
U.S. BANCORP INVESTMENTS, INC.
April 9, 2007 - June 7, 2010
CETERA INVESTMENT SERVICES LLC
April 2, 2007 - June 7, 2010
CETERA INVESTMENT SERVICES LLC
September 7, 2006 - February 13, 2007
CUNA BROKERAGE SERVICES, INC.
January 18, 2005 - July 7, 2006
METROPOLITAN LIFE INSURANCE COMPANY
January 18, 2005 - July 7, 2006
MSI FINANCIAL SERVICES, INC.
April 23, 2003 - November 30, 2004
FINANCIAL WEST GROUP
November 5, 2002 - April 9, 2003
NATIONAL PLANNING CORPORATION
March 15, 2002 - November 5, 2002
U.S. BANCORP ADVISORS, LLC
January 23, 2001 - November 5, 2002
U.S. BANCORP ADVISORS, LLC
January 8, 1999 - December 19, 2000
WAMU INVESTMENTS, INC.
April 2, 1997 - January 7, 1999
BA INVESTMENT SERVICES, INC.
June 27, 1994 - March 19, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 19, 1984 - June 20, 1994
PRUCO SECURITIES, LLC.
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
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
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