Kaley D. Fleig
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.
Kaley Dwight Fleig, who also goes by Mr. Kaley Dwight Fleig, Kaley D Fleig, was a registered financial professional .
Kaley is a previously registered financial professional and started their career in finance in 2003. Kaley had worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 4, Series 53 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
May 8, 2025 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
May 8, 2025 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
May 8, 2025 - August 1, 2025
CADARET, GRANT & CO., INC.
January 13, 2025 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
January 13, 2025 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
August 7, 2018 - August 14, 2024
FBL WEALTH MANAGEMENT, LLC
October 31, 2017 - August 14, 2024
FBL MARKETING SERVICES, LLC
August 26, 2005 - March 7, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 29, 2003 - March 7, 2014
CAMBRIDGE INVESTMENT RESEARCH, 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 99TO
Date: 1/2/2023
Operations Professional 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.
