Karl J. Drilling
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.
Karl Joseph Drilling, who also goes by Karl J. Drilling, Karl Drilling, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1987. Karl had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2016 - July 11, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
July 1, 2016 - July 11, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
December 14, 2012 - May 9, 2016
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2012 - May 9, 2016
WELLS FARGO CLEARING SERVICES, LLC
June 21, 2011 - November 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 16, 2011 - November 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 1997 - June 13, 2002
PRUDENTIAL EQUITY GROUP, LLC
June 21, 1991 - June 13, 2002
PRUDENTIAL EQUITY GROUP, LLC
November 25, 1987 - September 12, 1990
CIBC WORLD MARKETS CORP.
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.
