Allison J. Giannini
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.
Allison J. Giannini, who also goes by A. Giannini, Allison Julia Giannini, Allison Giannini, Allison Hayward, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2012. Allison had worked at 4 firms and has passed the Series 66, Series 7TO, 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
May 23, 2018 - April 1, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
May 22, 2018 - April 1, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
August 15, 2016 - October 11, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2016 - October 11, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 2014 - August 26, 2014
MORGAN STANLEY
July 22, 2014 - August 26, 2014
MORGAN STANLEY
September 18, 2013 - July 15, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 11, 2013 - July 15, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 27, 2012 - April 11, 2012
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
Series 7TO
Date: 3/3/2024
General Securities Representative 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.
