David B. Mcclary
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 Bryan Mcclary, who also goes by David Bryan Maclary, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 10 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 6 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
August 9, 2021 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
August 9, 2021 - August 1, 2025
SCF SECURITIES, INC.
August 9, 2021 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
August 9, 2021 - August 1, 2025
CADARET, GRANT & CO., INC.
November 15, 2016 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
November 14, 2016 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
February 12, 2010 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
December 11, 2009 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
June 2, 2009 - October 20, 2009
ASCENSUS FINANCIAL SERVICES, LLC.
November 9, 1999 - March 13, 2002
CITISTREET EQUITIES LLC
July 15, 1998 - January 27, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 17, 1990 - June 17, 1998
MISSIONSQUARE INVESTMENT SERVICES
May 19, 1986 - December 6, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
