Jeffrey D. Schrader
Professional summary
Jeffrey Dean Schrader was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Jeffrey had worked at 3 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, RYAN BECK & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2009 - February 18, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
March 19, 2009 - February 18, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
November 14, 2005 - April 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2005 - April 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 1999 - December 1, 2005
RYAN BECK & CO.
August 21, 1998 - December 1, 2005
RYAN BECK & CO.
State Registrations and Notice Filings
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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
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