Bradford Gloger
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.
Bradford Gloger, who also goes by Brad Gloger, Bradford A. Gloger, was a registered financial professional .
Bradford is a previously registered financial professional and started their career in finance in 2008. Bradford had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2016 - May 6, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
January 8, 2016 - May 6, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
May 11, 2011 - December 22, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 2011 - December 22, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - May 19, 2011
MORGAN STANLEY
June 1, 2009 - May 19, 2011
MORGAN STANLEY
May 27, 2009 - July 23, 2009
CITIGROUP GLOBAL MARKETS INC.
May 27, 2009 - July 23, 2009
CITIGROUP GLOBAL MARKETS INC.
December 12, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
