Bradley C. Mascho
Professional summary
Bradley Carl Mascho was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bradley is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Bradley had worked at 6 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., BENNETT GROUP FINANCIAL SERVICES LLC, OSAIC WEALTH INC., LEGG MASON WOOD WALKER INCORPORATED, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2017 - December 5, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
May 5, 2014 - December 31, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
October 1, 2009 - December 5, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
May 12, 2008 - September 6, 2013
BENNETT GROUP FINANCIAL SERVICES, LLC
February 16, 2006 - October 6, 2009
OSAIC WEALTH, INC.
September 16, 1999 - February 23, 2006
LEGG MASON WOOD WALKER, INCORPORATED
March 18, 1997 - July 27, 1999
IDS LIFE INSURANCE COMPANY
March 18, 1997 - July 27, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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.
