Efrain B. Trujillo
Professional summary
Efrain Balderrama Trujillo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Efrain is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Efrain had worked at 3 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., FINANCIAL WEST GROUP, SRM SECURITIES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2019 - October 27, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - October 27, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
June 25, 2012 - August 21, 2017
FINANCIAL WEST GROUP
October 2, 1998 - October 3, 2012
SRM SECURITIES, INCORPORATED
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/19/2004
Limited Representative-Equity Trader ExamCurrent 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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