Robert F. Brink
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.
Robert Freeman Brink, CFP®, who also goes by Bob F. Brink, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 9 firms and has passed the SIE, Series 7, Series 6 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
Start date: 1989
Experience
May 21, 2009 - August 15, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
May 21, 2009 - August 15, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
December 17, 2004 - May 12, 2009
LEO BROKERAGE, LLC
December 17, 2004 - May 12, 2009
LEO BROKERAGE, LLC
July 29, 2004 - December 17, 2004
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 5, 2001 - December 17, 2004
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 11, 2000 - January 1, 2001
LPL FINANCIAL LLC
February 11, 2000 - April 7, 2000
WAMU INVESTMENTS, INC.
January 23, 1998 - February 17, 2000
LPL FINANCIAL LLC
March 7, 1997 - December 31, 1997
SENTRA SECURITIES CORPORATION
July 27, 1993 - April 7, 1995
INVEST FINANCIAL CORPORATION
February 16, 1990 - July 7, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 24, 1987 - February 28, 1990
CAPITAL BROKERAGE 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.
