James M. Whitener
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 Morris Whitener, who also goes by Jim Morris Whitener, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2014 - December 2, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
January 10, 2014 - December 2, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
July 7, 2009 - January 22, 2014
LPL FINANCIAL LLC
July 6, 2009 - January 22, 2014
LPL FINANCIAL LLC
April 27, 2007 - July 8, 2009
EDWARD JONES
June 28, 2001 - July 8, 2009
EDWARD JONES
September 14, 2000 - July 31, 2001
CETERA WEALTH SERVICES, LLC
December 4, 1998 - October 5, 2000
EDWARD JONES
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.
