Gilbert Good
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.
Gilbert Good was a registered financial professional .
Gilbert is a previously registered financial professional and started their career in finance in 1970. Gilbert had worked at 11 firms and has passed the Series 65, Series 63, SIE, PC, Series 7, Series 1, Series 10, Series 9, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2014 - May 30, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
June 12, 2014 - May 30, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
November 25, 2013 - June 26, 2014
D.A. DAVIDSON & CO.
November 25, 2013 - June 26, 2014
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
December 6, 2006 - November 4, 2013
CROWELL, WEEDON & CO.
December 6, 2006 - November 4, 2013
CROWELL, WEEDON & CO.
April 7, 2006 - December 7, 2006
SMART INVESTMENTS ADVISORY INCORPORATED
April 7, 2006 - December 7, 2006
THE SEIDLER COMPANIES INCORPORATED
May 13, 2003 - April 7, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 20, 1996 - April 7, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 25, 1989 - November 12, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 7, 1977 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 5, 1976 - August 16, 1977
STERN, FRANK, MEYER & FOX, INCORPORATED
July 22, 1970 - November 12, 1976
QUINCY CASS ASSOCIATES, INCORPORATED
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: 1/1/1978
AMEX Put and Call ExamSeries 1
Date: 1/5/1970
Registered Representative ExaminationSeries 8
Date: 7/17/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 11/17/1975
General Securities Principal 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.
