Neil D. Wolstenholme
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.
Neil David Wolstenholme was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 2009. Neil had worked at 15 firms and has passed the Series 66, SIE, Series 7 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
April 18, 2024 - May 8, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
April 18, 2024 - May 8, 2024
SORRENTO PACIFIC FINANCIAL, LLC
April 18, 2024 - May 8, 2024
SCF SECURITIES, INC.
April 18, 2024 - May 8, 2024
NEXT FINANCIAL GROUP, INC.
April 18, 2024 - May 8, 2024
GROVE POINT INVESTMENTS, LLC
April 18, 2024 - May 8, 2024
CADARET, GRANT & CO., INC.
April 17, 2024 - May 8, 2024
CUSO FINANCIAL SERVICES, L.P.
March 30, 2023 - March 6, 2024
CHARLES SCHWAB & CO., INC.
November 27, 2017 - December 31, 2020
TD AMERITRADE CLEARING, INC.
November 21, 2017 - December 31, 2023
TD AMERITRADE, INC.
April 17, 2017 - September 6, 2017
FIRST ALLIED ADVISORY SERVICES, INC.
June 14, 2016 - September 6, 2017
FIRST ALLIED SECURITIES, INC.
April 1, 2014 - October 20, 2015
INDEPENDENT FINANCIAL GROUP, LLC
November 8, 2012 - May 1, 2013
COMMONWEALTH FINANCIAL NETWORK
June 18, 2012 - September 13, 2012
LPL FINANCIAL LLC
February 4, 2009 - January 25, 2011
LPL FINANCIAL 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.
