Brett A. Huizenga
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.
Brett Allen Huizenga, who also goes by Brett Huizenga, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 2010. Brett had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 34, Series 3 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
September 29, 2017 - January 14, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
September 29, 2017 - January 14, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
July 28, 2015 - August 30, 2017
FINANCIAL WEST GROUP
July 21, 2015 - August 30, 2017
FINANCIAL WEST GROUP
January 11, 2010 - July 29, 2015
TD AMERITRADE, 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
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.
