Tiffany S. Mccord
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.
Tiffany Sue Mccord, who also goes by Tiffany Mccord, was a registered financial professional .
Tiffany is a previously registered financial professional and started their career in finance in 2010. Tiffany 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
August 15, 2018 - December 31, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
July 25, 2017 - August 17, 2018
FIRST ALLIED SECURITIES, INC.
July 8, 2015 - February 23, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
July 8, 2015 - February 23, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
December 19, 2012 - June 30, 2015
WELLS FARGO CLEARING SERVICES, LLC
December 12, 2012 - June 30, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 13, 2011 - December 20, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
June 30, 2010 - December 20, 2011
AMERIPRISE FINANCIAL 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
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.
