Allen W. Boelter
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Allen Wayne Boelter, who also goes by Al Boelter, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1985. Allen had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2017 - December 31, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - December 31, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
January 15, 2010 - August 21, 2017
FINANCIAL WEST GROUP
January 14, 2010 - August 21, 2017
FINANCIAL WEST GROUP
February 12, 1999 - March 23, 2009
SECURITIES AMERICA ADVISORS, INC.
March 4, 1998 - March 23, 2009
SECURITIES AMERICA, INC.
August 2, 1995 - March 25, 1998
THE VARIABLE ANNUITY MARKETING COMPANY
November 19, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
May 14, 1985 - August 10, 1995
IDS LIFE INSURANCE COMPANY
May 14, 1985 - August 10, 1995
AMERIPRISE FINANCIAL SERVICES, 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
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.
