Keith E. Kasowski
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.
Keith Edward Kasowski, who also goes by Keith Kasowski, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1994. Keith had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31 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
November 14, 2022 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
November 14, 2022 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
November 14, 2022 - August 1, 2025
SCF SECURITIES, INC.
November 14, 2022 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
November 14, 2022 - August 1, 2025
CADARET, GRANT & CO., INC.
May 11, 2015 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
January 23, 2012 - February 16, 2015
HINES PRIVATE WEALTH SOLUTIONS LLC
June 14, 2011 - November 4, 2011
CROSSMARK DISTRIBUTORS, INC.
October 13, 2008 - February 24, 2010
PACIFIC SELECT DISTRIBUTORS, LLC
March 5, 2007 - October 8, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 22, 1999 - July 6, 2005
INVESCO DISTRIBUTORS, INC.
May 23, 1997 - November 6, 1997
INVESCO CAPITAL MARKETS, INC.
June 23, 1995 - March 31, 1997
MORGAN STANLEY DW INC.
November 16, 1994 - June 5, 1995
CIBC WORLD MARKETS CORP.
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.
