Michael J. Hunter
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.
Michael Joseph Hunter was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 8 firms and has passed the Series 63 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
March 4, 2011 - June 18, 2012
WESTERN INTERNATIONAL SECURITIES, INC.
December 17, 2004 - February 11, 2011
QA3 FINANCIAL LLC
December 17, 2004 - February 11, 2011
QA3 FINANCIAL CORP.
September 13, 2002 - December 13, 2004
AMERITAS INVESTMENT COMPANY, LLC
June 11, 2002 - December 13, 2004
AMERITAS INVESTMENT COMPANY, LLC
June 14, 2001 - March 26, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - March 26, 2002
OSAIC FA, INC.
February 23, 1989 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 21, 1987 - January 6, 1989
CINCINNATI ANALYSTS, 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.
