Vance A. Gustafson
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.
Vance Ambrose Gustafson, who also goes by Vance A. Gustafson, was a registered financial professional .
Vance is a previously registered financial professional and started their career in finance in 1969. Vance had worked at 9 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 7TO, SIE, Series 1, Series 28, Series 24, Series 27, Series 4 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
December 13, 2016 - June 20, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
October 27, 2006 - September 26, 2007
GUSTAFSON FINANCIAL, INC.
October 9, 2006 - January 17, 2017
THE SECURITIES CENTER, INC.
April 23, 1985 - October 6, 2006
GUSTAFSON FINANCIAL, INC.
March 14, 1978 - April 26, 1985
WESTERN FINANCIAL CORPORATION
January 18, 1978 - March 28, 1978
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
December 16, 1974 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
October 11, 1972 - November 6, 1974
KIDDER, PEABODY & CO., INCORPORATED
March 27, 1972 - October 29, 1972
DUPONT GLORE FORGAN INC
October 27, 1969 - February 3, 1972
HORNBLOWER & WEEKS - HEMPHILL, NOYES 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 12/9/1957
Registered Representative ExaminationSeries 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 40
Date: 4/1/1968
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.
