James D. Zitterkopf
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.
James Donald Zitterkopf was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 4 firms and has passed the Series 65, 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
February 12, 2010 - May 7, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
February 12, 2010 - May 7, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
September 1, 2006 - February 16, 2010
WELLS FARGO CLEARING SERVICES, LLC
September 1, 2006 - February 16, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - September 18, 2006
CITIGROUP GLOBAL MARKETS INC.
September 18, 1996 - September 18, 2006
CITIGROUP GLOBAL MARKETS INC.
January 25, 1996 - August 16, 1996
SUNAMERICA SECURITIES, 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.
