David A. Kweder
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.
David Alan Kweder was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1968. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - September 18, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - September 18, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
August 1, 2012 - August 21, 2017
FINANCIAL WEST GROUP
July 31, 2012 - August 21, 2017
FINANCIAL WEST GROUP
January 26, 2010 - August 1, 2012
MOORS & CABOT, INC.
January 26, 2010 - August 1, 2012
MOORS & CABOT, INC.
June 1, 2009 - February 9, 2010
MORGAN STANLEY
June 1, 2009 - February 9, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 8, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
February 24, 1978 - April 2, 2007
MORGAN STANLEY DW INC.
May 17, 1974 - February 24, 1978
REYNOLDS SECURITIES, INC.
May 7, 1973 - June 3, 1974
G. H. WALKER, LAIRD INCORPORATED
November 1, 1968 - May 9, 1973
DEAN WITTER & CO. INCORPORATED
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 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 4/1/1977
AMEX Put and Call ExamSeries 1
Date: 3/24/1966
Registered Representative 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.
