George C. Gorman
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.
George Charles Gorman was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1985. George had worked at 11 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 22 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
August 21, 2017 - December 31, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - December 31, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
July 1, 2008 - July 3, 2008
THE SOCIAL EQUITY GROUP, INC.
February 4, 2002 - August 21, 2017
FINANCIAL WEST GROUP
January 15, 2002 - August 21, 2017
FINANCIAL WEST GROUP
January 1, 1999 - December 14, 2001
B. C. ZIEGLER AND COMPANY
August 14, 1991 - January 1, 1999
GS2 SECURITIES, INC.
January 14, 1991 - August 16, 1991
HERBERT LAWRENCE CONSULTANTS, INC.
October 5, 1989 - March 3, 1990
SOUTHWESTERN EQUITIES
February 17, 1989 - September 6, 1989
GS2 SECURITIES, INC.
July 16, 1987 - March 3, 1990
SOUTHWESTERN EQUITIES
December 18, 1986 - July 21, 1987
SJ CAPITAL, INC.
June 12, 1986 - January 7, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
October 7, 1985 - June 30, 1986
J.P. MORGAN SECURITIES LLC
July 17, 1985 - September 30, 1985
SJ CAPITAL, INC.
July 2, 1985 - August 6, 1985
B/W MISSION SECURITIES CORPORATION
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.
