George W. Guppy
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.
George Willoughby Guppy was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1957. George had worked at 11 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2002 - December 31, 2010
WESTERN INTERNATIONAL SECURITIES, INC.
February 11, 2002 - May 6, 2002
FIRST ALLIED SECURITIES, INC.
July 13, 2001 - February 11, 2002
INTERFIRST CAPITAL CORPORATION
December 19, 2000 - August 7, 2001
AUERBACH, POLLAK & RICHARDSON INC.
April 29, 1998 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
November 9, 1994 - March 20, 1998
RODMAN & RENSHAW INC.
June 8, 1989 - October 24, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 8, 1988 - June 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 6, 1985 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
December 18, 1973 - May 13, 1985
HENRY F. SWIFT & CO.
December 24, 1957 - January 11, 1974
SUTRO & CO. 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: 6/30/1989
AMEX Put and Call ExamSeries 1
Date: 12/24/1957
Registered Representative ExaminationSeries 40
Date: 3/9/1972
Registered 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.
