Donald T. Milin
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.
Donald Thomas Milin, who also goes by Don Milin, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 15 firms and has passed the Series 63, SIE, Series 000 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
November 1, 2010 - December 1, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
October 29, 2010 - December 1, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
February 10, 2010 - October 29, 2010
FINANCIAL WEST GROUP
June 30, 2009 - October 29, 2010
FINANCIAL WEST GROUP
January 14, 2008 - January 23, 2009
EPLANNING SECURITIES, INC.
March 1, 2001 - December 5, 2007
FINANCIAL WEST GROUP
August 31, 2000 - December 5, 2007
FINANCIAL WEST GROUP
July 29, 1999 - September 5, 2000
FAS WEALTH MANAGEMENT SERVICES, INC.
April 27, 1998 - October 6, 1998
SPECTRUM SECURITIES, INC.
March 20, 1996 - November 7, 1996
ROTH CAPITAL PARTNERS, LLC
August 16, 1994 - February 13, 1996
MORGAN STANLEY DW INC.
June 1, 1993 - July 21, 1994
CUNA BROKERAGE SERVICES, INC.
April 30, 1991 - December 31, 1992
FINANCIAL WEST GROUP
August 9, 1988 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
November 11, 1985 - May 23, 1988
TALLEY, MCNEIL & CO., INC.
October 11, 1983 - November 1, 1985
LEHMAN BROTHERS INC.
January 30, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 24, 1978 - March 1, 1979
MORGAN STANLEY DW INC.
February 27, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
July 11, 1973 - April 17, 1975
HORNBLOWER & WEEKSHEMPHILL NOYES
April 1, 1969 - August 2, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
April 1, 1969 - November 2, 1983
UBS FINANCIAL SERVICES INC.
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 000
Date: 4/1/1969
General Securities Principal ExaminationSeries 1
Date: 3/28/1969
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.
