Harriet D. White
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.
Harriet Dianne White, who also goes by Harriett Dianne White, Harriet Dianne Wilcox, Harriet Wilcox Wilcox, was a registered financial professional .
Harriet is a previously registered financial professional and started their career in finance in 1986. Harriet had worked at 5 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2011 - March 20, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
February 18, 2011 - February 18, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
January 15, 1990 - April 1, 2011
BURNHAM SECURITIES INC.
September 13, 1989 - February 5, 1990
UBS FINANCIAL SERVICES INC.
May 22, 1989 - August 16, 1989
CITIGROUP GLOBAL MARKETS INC.
November 21, 1986 - May 22, 1989
DREXEL BURNHAM LAMBERT 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 8
Date: 6/30/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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.
