Albert L. Wynn
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.
Albert Lee Wynn, who also goes by Albert Lee Wynn Jr., was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1995. Albert had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2019 - September 17, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
July 15, 2019 - July 16, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
September 6, 2017 - July 18, 2019
VIRTUE CAPITAL MANAGEMENT, LLC
November 5, 2012 - September 5, 2017
WOODBURY FINANCIAL SERVICES, INC.
August 18, 2008 - December 31, 2009
WOODBURY FINANCIAL SERVICES, INC.
August 18, 2008 - September 5, 2017
WOODBURY FINANCIAL SERVICES, INC.
January 10, 2007 - August 28, 2008
GUNNALLEN FINANCIAL, INC
January 10, 2007 - August 28, 2008
GUNNALLEN FINANCIAL, INC
March 2, 2005 - December 31, 2006
MOMENTUM INDEPENDENT NETWORK INC.
March 2, 2005 - December 31, 2006
MOMENTUM INDEPENDENT NETWORK INC.
March 18, 2003 - March 1, 2005
SECURITIES AMERICA ADVISORS, INC.
February 28, 2003 - March 1, 2005
SECURITIES AMERICA, INC.
May 21, 2002 - March 5, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 15, 2001 - March 5, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 14, 1999 - June 18, 2001
FFP SECURITIES, INC.
June 21, 1995 - July 15, 1999
WMA SECURITIES, INC.
March 21, 1995 - June 20, 1995
NORTH AMERICAN MANAGEMENT, INC.
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.
