H. A. Harper
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.
H. Alexander Harper Jr., who also goes by Alex Harper, Alexander Henry Harper Jr., H Alexander Harper Jr, H. Alexander Harper, Henry Alexander Harper Jr., was a registered financial professional .
H. is a previously registered financial professional and started their career in finance in 1965. H. had worked at 12 firms and has passed the Series 63, SIE 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
August 21, 2017 - July 6, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
January 6, 2010 - August 21, 2017
FINANCIAL WEST GROUP
June 1, 2009 - January 7, 2010
MORGAN STANLEY
June 1, 2009 - January 7, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 2, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
February 27, 1995 - April 2, 2007
MORGAN STANLEY DW INC.
July 22, 1991 - February 28, 1995
UBS FINANCIAL SERVICES INC.
June 11, 1984 - July 16, 1991
WEDBUSH SECURITIES INC.
December 8, 1981 - July 17, 1984
E. F. HUTTON & COMPANY INC
November 26, 1979 - January 3, 1982
LEHMAN BROTHERS INC.
January 18, 1978 - November 26, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
January 8, 1965 - May 5, 1977
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 1
Date: 5/27/1960
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.
