Robert A. Rowley
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.
Robert Adrian Rowley, who also goes by Robert Rowley, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 17 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2024 - June 26, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
June 5, 2024 - June 26, 2025
SORRENTO PACIFIC FINANCIAL, LLC
June 5, 2024 - June 26, 2025
NEXT FINANCIAL GROUP, INC.
June 5, 2024 - June 26, 2025
CUSO FINANCIAL SERVICES, L.P.
June 5, 2024 - June 26, 2025
CADARET, GRANT & CO., INC.
February 10, 2022 - September 1, 2023
OSAIC SERVICES, INC.
February 10, 2022 - November 3, 2023
FSC SECURITIES CORPORATION
February 10, 2022 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
February 10, 2022 - April 26, 2024
TRIAD ADVISORS LLC
February 10, 2022 - April 26, 2024
SECURITIES AMERICA, INC.
February 9, 2022 - April 26, 2024
OSAIC WEALTH, INC.
June 14, 2021 - November 29, 2021
EQUITABLE ADVISORS, LLC
September 27, 2002 - July 2, 2007
MBSC, LLC
October 26, 1998 - February 24, 2020
BNY MELLON SECURITIES CORPORATION
April 3, 1998 - July 21, 1998
SURETRADE INC.
May 7, 1997 - February 3, 1998
PRUDENTIAL EQUITY GROUP, LLC
May 1, 1996 - May 20, 1997
GLEACHER & COMPANY SECURITIES, INC.
January 23, 1995 - June 14, 1995
PRUDENTIAL EQUITY GROUP, LLC
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 99TO
Date: 1/2/2023
Operations Professional 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.
