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Michael S. Palmer

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CRD#: 6220719

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.

Michael Shawn Palmer, who also goes by Michael Shawn Palmer, Michael S Palmer, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2016. Michael had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Michael Shawn Palmer | Michael S Palmer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 20, 2023 - August 1, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

BD

CRD#: 39262

PASADENA, CA

Past

December 20, 2023 - August 1, 2025

SORRENTO PACIFIC FINANCIAL, LLC

BD

CRD#: 127787

SAN DIEGO, CA

Past

December 20, 2023 - August 1, 2025

SCF SECURITIES, INC.

BD

CRD#: 47275

SAN DIEGO, CA

Past

December 20, 2023 - August 1, 2025

NEXT FINANCIAL GROUP, INC.

BD

CRD#: 46214

HOUSTON, TX

Past

December 20, 2023 - August 1, 2025

GROVE POINT INVESTMENTS, LLC

BD

CRD#: 1763

ROCKVILLE, MD

Past

December 20, 2023 - August 1, 2025

CUSO FINANCIAL SERVICES, L.P.

BD

CRD#: 42132

SAN DIEGO, CA

Past

December 20, 2023 - August 1, 2025

CADARET, GRANT & CO., INC.

BD

CRD#: 10641

SYRACUSE, NY

Past

August 22, 2016 - August 4, 2021

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD

CRD#: 8348

COLORADO SPRINGS, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

RR

Series 63

Date: 7/8/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 8/6/2023

General Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 8/22/2016

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 8/6/2023

General Securities Principal Examination

Current Firm

WI

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES | WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262 / SEC#: 801-68953, 8-48572

BD

Terminated by SEC on 10/11/2025

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Contact information

Main Address

70 South Lake Avenue Suite 700, Pasadena, CA 91101

Mailing Address

Phone number

(888) 793-7717

Established

Colorado since 04/14/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

407

FINRA licenses (5 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

WIS FORM ADV 2A BROCHURE MARCH 2025 (3/28/2025)

WIS WRAP CONTOUR BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
CONCEPT BROKERAGE HOLDING CORPORATION	HOLDING COMPANY
MORRISSEY, WILLIAM PAUL	PRESIDENT	1575389
SIMONSON, MARY KATHRYN	CHIEF COMPLIANCE OFFICER	1297398
TYMKIW, TRISHA LYNN	FINOP	3197368

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	Cover Page	Report
06/28/2024	Cover Page	Report

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.

Company Information

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

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