Ross D. Insalaco
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.
Ross Domenic Insalaco was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 2016. Ross had worked at 6 firms and has passed the SIE, Series 57 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
July 12, 2021 - October 11, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
July 12, 2021 - October 11, 2022
SCF SECURITIES, INC.
January 27, 2021 - October 11, 2022
NEXT FINANCIAL GROUP, INC.
December 10, 2019 - October 11, 2022
SORRENTO PACIFIC FINANCIAL, LLC
December 10, 2019 - October 11, 2022
CUSO FINANCIAL SERVICES, L.P.
September 21, 2016 - October 11, 2022
CADARET, GRANT & CO., 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.
