Lancaster B. Greene
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.
Lancaster Bradford Greene was a registered financial professional .
Lancaster is a previously registered financial professional and started their career in finance in 1969. Lancaster had worked at 9 firms and has passed the Series 63, SIE, PC, Series 000 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
October 27, 2015 - November 1, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
January 7, 2002 - November 2, 2015
BRILL SECURITIES, INC.
June 23, 1980 - February 1, 2002
TUCKER ANTHONY INCORPORATED
February 23, 1979 - July 16, 1980
MOSELEY SECURITIES CORPORATION
April 28, 1976 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
October 29, 1975 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
January 8, 1974 - November 15, 1975
HENDERSON, HARRISON & CO.
October 5, 1972 - February 4, 1974
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1969 - October 19, 1972
MACK, BUSHNELL & EDELMAN, 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: 9/1/1977
AMEX Put and Call ExamSeries 000
Date: 9/3/1965
General Securities Principal ExaminationSeries 1
Date: 9/3/1965
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.
