David L. Collum
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.
David Leo Collum, who also goes by David L Collum, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 14 firms and has passed the Series 63, Series 7 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 9, 2000 - May 17, 2001
WESTERN INTERNATIONAL SECURITIES, INC.
September 21, 1998 - November 20, 1998
FORTA FINANCIAL GROUP, INC.
December 18, 1995 - October 24, 1996
CHARLES SCHWAB & CO., INC.
August 10, 1995 - October 30, 1995
JANUS HENDERSON DISTRIBUTORS US LLC
November 23, 1994 - December 7, 1994
STRATEGIC RESOURCE MANAGEMENT, INC.
July 29, 1992 - December 4, 1992
OSAIC WEALTH, INC.
January 17, 1990 - August 17, 1990
H. T. FLETCHER SECURITIES INCORPORATED
November 7, 1989 - January 15, 1990
AMERICAN FRONTEER FINANCIAL CORPORATION
May 17, 1989 - November 24, 1989
WALL STREET WEST, INC.
April 26, 1989 - May 24, 1989
L.F. THOMPSON & COMPANY
March 17, 1989 - May 23, 1989
MARSHALL DAVIS, INC.
February 17, 1989 - March 27, 1989
SECURITIES USA, INC.
May 13, 1987 - February 28, 1989
POWER SECURITIES CORPORATION
November 20, 1985 - May 22, 1987
THE STUART-JAMES COMPANY, 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
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.
