John W. Weisman
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.
John William Weisman was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1986. John had worked at 11 firms and has passed the Series 65, Series 63, SIE 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
January 21, 2015 - December 1, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
February 27, 2009 - December 31, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
May 2, 2006 - November 9, 2007
OBSIDIAN FINANCIAL GROUP, LLC
January 13, 2004 - April 1, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 12, 2003 - April 1, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 25, 2000 - December 19, 2003
UBS FINANCIAL SERVICES INC.
August 11, 2000 - December 19, 2003
UBS FINANCIAL SERVICES INC.
April 13, 1998 - August 21, 2000
WELLS FARGO CLEARING SERVICES, LLC
March 12, 1996 - May 6, 1998
SUTRO & CO. INCORPORATED
June 14, 1993 - March 13, 1996
MORGAN STANLEY DW INC.
January 8, 1991 - June 22, 1993
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1990 - November 23, 1990
WELLS FARGO CLEARING SERVICES, LLC
January 19, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 26, 1987 - January 19, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 24, 1986 - March 9, 1987
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.
