John J. Koorey
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.
John Joseph Koorey was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2014 - June 21, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
May 1, 2014 - June 21, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
April 5, 2010 - December 14, 2012
WESTERN INTERNATIONAL SECURITIES, INC.
October 1, 2009 - December 14, 2012
WESTERN INTERNATIONAL SECURITIES, INC.
October 6, 2006 - October 6, 2009
OSAIC WEALTH, INC.
May 8, 2000 - November 15, 2002
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
May 23, 1988 - September 3, 1999
LORD ABBETT DISTRIBUTOR LLC
April 29, 1987 - December 15, 1987
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
January 8, 1980 - July 7, 1986
SIGNATOR INVESTORS, INC.
January 8, 1980 - July 8, 1986
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
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 1
Date: 12/30/1979
Registered 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.
