Cullen D. Factor
Professional summary
Cullen David Factor was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cullen is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Cullen had worked at 14 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., BRILL SECURITIES INC., CLARK STREET CAPITAL INC., ROYAL HUTTON SECURITIES CORP., GUNNALLEN FINANCIAL INC, HD BROUS & CO. INC., ROBERT THOMAS SECURITIES INC, DUKE & CO. INC., MEYERS POLLOCK ROBBINS INC., JARON EQUITIES CORP., TASIN & COMPANY INC., AGS FINANCIAL SERVICES INC., STUART COLEMAN & CO. INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2015 - December 13, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
August 18, 2009 - October 29, 2015
BRILL SECURITIES, INC.
June 6, 2001 - October 16, 2008
BRILL SECURITIES, INC.
May 7, 2001 - June 8, 2001
CLARK STREET CAPITAL, INC.
November 2, 1998 - May 4, 2001
ROYAL HUTTON SECURITIES CORP.
April 16, 1998 - November 9, 1998
GUNNALLEN FINANCIAL, INC
January 20, 1998 - April 20, 1998
HD BROUS & CO., INC.
November 21, 1997 - January 27, 1998
ROBERT THOMAS SECURITIES, INC
November 4, 1996 - October 31, 1997
DUKE & CO., INC.
October 22, 1996 - January 14, 1997
MEYERS POLLOCK ROBBINS, INC.
October 2, 1996 - October 22, 1996
JARON EQUITIES CORP.
March 6, 1996 - August 1, 1996
TASIN & COMPANY, INC.
February 21, 1996 - March 5, 1996
AGS FINANCIAL SERVICES, INC.
December 11, 1995 - February 28, 1996
STUART, COLEMAN & CO., INC.
November 1, 1995 - December 13, 1995
MEYERS POLLOCK ROBBINS, INC.
March 29, 1995 - November 10, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, 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.
