Michael L. Bullock
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.
Michael Lee Bullock was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1972. Michael had worked at 15 firms and has passed the Series 63, PC, Series 1 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
September 8, 2011 - October 25, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
March 24, 2011 - September 6, 2011
NEWBRIDGE SECURITIES CORPORATION
March 11, 2011 - September 6, 2011
NFSG CORPORATION
June 19, 2007 - February 11, 2011
QA3 FINANCIAL LLC
June 19, 2007 - February 11, 2011
QA3 FINANCIAL CORP.
July 8, 1997 - June 19, 2007
SECURITIES AMERICA ADVISORS, INC.
September 12, 1990 - June 19, 2007
SECURITIES AMERICA, INC.
January 3, 1989 - January 10, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 7, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 4, 1988 - September 24, 1990
GBS FINANCIAL CORP.
November 22, 1977 - April 6, 1988
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
January 15, 1975 - November 17, 1976
SHEARSON HAYDEN STONE INC.
February 15, 1974 - September 2, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
October 24, 1972 - February 18, 1974
E. F. HUTTON & COMPANY 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
PC
Date: 5/19/1977
AMEX Put and Call ExamSeries 1
Date: 10/10/1972
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.
