Nobuyuki Kondo
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.
Nobuyuki Kondo, who also goes by Nobu Kondo, was a registered financial professional .
Nobuyuki is a previously registered financial professional and started their career in finance in 1987. Nobuyuki had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - May 3, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - May 3, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
July 16, 2007 - August 21, 2017
FINANCIAL WEST GROUP
July 16, 2007 - August 21, 2017
FINANCIAL WEST GROUP
June 26, 2007 - July 13, 2007
WEDBUSH SECURITIES INC.
June 26, 2007 - July 13, 2007
WEDBUSH SECURITIES INC.
March 1, 2000 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
January 4, 1997 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
December 11, 1996 - January 1, 1997
IFG NETWORK SECURITIES, INC.
October 23, 1996 - December 11, 1996
BUCKHEAD FINANCIAL CORPORATION
July 30, 1993 - October 28, 1996
GLOBALCOMM SECURITIES, INC.
December 20, 1991 - July 30, 1993
JMC INVESTMENT SERVICES, INC.
May 20, 1991 - September 25, 1991
REES FINANCIAL GROUP, INC.
September 22, 1987 - October 30, 1989
INTERFIRST CAPITAL CORPORATION
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.
