Alan J. Zuckerman
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.
Alan Jeffrey Zuckerman was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1993. Alan had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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 - September 3, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - September 3, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
March 2, 2010 - August 21, 2017
FINANCIAL WEST GROUP
June 25, 2002 - August 21, 2017
FINANCIAL WEST GROUP
February 11, 2002 - June 13, 2002
FIRST ALLIED SECURITIES, INC.
December 9, 1993 - February 11, 2002
INTERFIRST CAPITAL CORPORATION
September 23, 1993 - December 2, 1993
LIGHT SECURITIES
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
Current 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.
