Maxine R. Funa
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.
Maxine Ruth Funa, who also goes by Maxine Ruth Johnson, Maxine Ruth Magee, Maxine Ruth Rich, was a registered financial professional .
Maxine is a previously registered financial professional and started their career in finance in 1995. Maxine had worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2003 - December 31, 2011
PACIFIC WEST SECURITIES, INC.
March 31, 2003 - December 16, 2003
SENTRA SECURITIES CORPORATION
May 1, 2000 - March 24, 2003
NATIONAL PLANNING CORPORATION
September 3, 1999 - May 2, 2000
ASSET PLANNING SOLUTIONS, INC.
March 31, 1998 - October 6, 1999
FIRST ALLIED SECURITIES, INC.
September 28, 1995 - February 2, 1998
DETWILER FENTON WEALTH 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
PACIFIC WEST SECURITIES, INC.
CRD#: 6390 / SEC#: , 8-17377
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC WEST FINANCIAL GROUP HOLDING CO. L.L.C. | 100% SHAREHOLDER/HOLDING CO. | |
| FORD, SHANON LANE | DIRECTOR, PRESIDENT | 4151684 |
| FORD, SHANON LANE | SECRETARY/TREASURER | 4151684 |
| MCCLOSKEY, MARK THOMAS | CHIEF COMPLIANCE OFFICER | 325596 |
| PIZELO, PHILIP ANTHONY | DIRECTOR, CEO | 2429418 |
| SIMS, JEFFREY SCOTT | FINANCIAL AND OPERATIONS PRINCIPAL | 3247374 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 7 |
| Bond | 1 |
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.
