Brittney J. Sias
Professional summary
Brittney Jade Sias was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brittney is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Brittney had worked at 9 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., U.S. BANCORP INVESTMENTS INC., CETERA INVESTMENT SERVICES LLC, CUSO FINANCIAL SERVICES L.P., ESSEX NATIONAL SECURITIES LLC, CUNA BROKERAGE SERVICES INC., BANCWEST INVESTMENT SERVICES INC., FINANCIAL WEST GROUP, U.S. BANCORP ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2013 - October 5, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
January 12, 2012 - March 8, 2013
U.S. BANCORP INVESTMENTS, INC.
June 18, 2010 - October 17, 2011
U.S. BANCORP INVESTMENTS, INC.
June 19, 2008 - June 7, 2010
CETERA INVESTMENT SERVICES LLC
April 17, 2008 - June 13, 2008
CUSO FINANCIAL SERVICES, L.P.
October 1, 2007 - March 20, 2008
ESSEX NATIONAL SECURITIES, LLC
November 16, 2006 - July 11, 2007
CUNA BROKERAGE SERVICES, INC.
June 16, 2006 - November 10, 2006
BANCWEST INVESTMENT SERVICES, INC.
April 23, 2003 - December 2, 2005
FINANCIAL WEST GROUP
October 4, 2001 - January 7, 2003
U.S. BANCORP ADVISORS, 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
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.
