Daniel J. Larson
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.
Daniel John Larson was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 7 firms and has passed the 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 3, 2013 - September 15, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
July 6, 2001 - December 31, 2012
WESTERN INTERNATIONAL SECURITIES, INC.
December 19, 2000 - August 21, 2001
AUERBACH, POLLAK & RICHARDSON INC.
September 30, 1998 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
August 9, 1989 - October 5, 1998
H.J. MEYERS & CO., INC.
May 3, 1989 - August 1, 1989
FIRST ALLIANCE SECURITIES, INC.
February 4, 1988 - April 27, 1989
PROFILE INVESTMENTS CORPORATION
November 25, 1987 - February 18, 1988
GRAYSTONE NASH, 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.
