Stuart M. Godin
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.
Stuart Myles Godin, who also goes by Stu Godin, Stuart M. Godin, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1961. Stuart had worked at 10 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2017 - April 6, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
March 16, 2016 - August 30, 2017
FINANCIAL WEST GROUP
December 20, 2006 - March 11, 2016
RBC CAPITAL MARKETS, LLC
December 19, 2006 - March 11, 2016
RBC CAPITAL MARKETS, LLC
October 7, 2003 - December 20, 2006
CITIGROUP GLOBAL MARKETS INC.
October 1, 2003 - December 20, 2006
CITIGROUP GLOBAL MARKETS INC.
November 2, 1998 - October 7, 2003
MORGAN STANLEY DW INC.
June 15, 1993 - October 7, 2003
MORGAN STANLEY DW INC.
March 26, 1990 - June 4, 1993
PRUDENTIAL EQUITY GROUP, LLC
February 10, 1987 - February 21, 1990
J.P. MORGAN SECURITIES LLC
September 26, 1978 - December 8, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 1972 - February 27, 1987
CIBC WORLD MARKETS CORP.
May 26, 1961 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 5/26/1961
Registered Representative ExaminationCurrent 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.
