Kenley V. George
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.
Kenley V George, who also goes by Kenley Varghese George, was a registered financial professional .
Kenley is a previously registered financial professional and started their career in finance in 2000. Kenley had worked at 13 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 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
March 13, 2025 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
March 13, 2025 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
March 13, 2025 - August 1, 2025
SCF SECURITIES, INC.
March 13, 2025 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
March 13, 2025 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
March 13, 2025 - August 1, 2025
CADARET, GRANT & CO., INC.
March 15, 2023 - August 1, 2025
GROVE POINT ADVISORS, LLC
March 15, 2023 - August 1, 2025
GROVE POINT INVESTMENTS, LLC
March 26, 2020 - February 23, 2022
FIRST COMMAND ADVISORY SERVICES
March 18, 2020 - February 23, 2022
FIRST COMMAND BROKERAGE SERVICES, INC.
March 12, 2004 - October 25, 2019
AVANTAX INVESTMENT SERVICES, INC.
February 25, 2004 - March 17, 2004
WORLD GROUP SECURITIES, INC.
July 19, 2000 - October 19, 2001
FIDELITY BROKERAGE SERVICES LLC
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 52TO
Date: 1/2/2023
Municipal Securities 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.
