Kaan Kaleli
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.
Kaan Kaleli was a registered financial professional .
Kaan is a previously registered financial professional and started their career in finance in 1996. Kaan had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2015 - May 21, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
January 2, 2004 - October 30, 2015
BRILL SECURITIES, INC.
March 19, 2002 - December 31, 2003
GUNNALLEN FINANCIAL, INC
September 25, 1998 - April 17, 2002
AMERICAN INVESTMENT SERVICES, INC.
January 16, 1998 - September 28, 1998
ROBERT THOMAS SECURITIES, INC
August 13, 1996 - January 28, 1998
THE BOSTON GROUP
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.
