Fred V. Recalde
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.
Fred Vladimir Recalde, who also goes by Fred Recalde, Fred Vladimir, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1997. Fred had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2013 - December 31, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
February 19, 2013 - December 31, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
May 29, 2007 - December 3, 2012
CITIGROUP GLOBAL MARKETS INC.
May 17, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 31, 2004 - April 18, 2005
ESSEX NATIONAL SECURITIES, LLC
August 31, 2004 - April 18, 2005
ESSEX NATIONAL SECURITIES, LLC
May 1, 2003 - August 13, 2004
WAMU INVESTMENTS, INC.
May 1, 2003 - August 13, 2004
WAMU INVESTMENTS, INC.
February 5, 2003 - April 10, 2003
CITICORP INVESTMENT SERVICES
February 7, 1999 - February 5, 2003
CAL FED INVESTMENTS
February 12, 1998 - December 21, 1998
CROWELL, WEEDON & CO.
June 23, 1997 - January 13, 1998
MORGAN STANLEY DW INC.
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.
