Bruce L. Lerner
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.
Bruce Lawrence Lerner was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1981. Bruce had worked at 7 firms and has passed the Series 63 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
August 19, 2004 - September 27, 2005
WESTERN INTERNATIONAL SECURITIES, INC.
April 8, 2002 - September 27, 2002
SANDS BROTHERS & CO., LTD.
July 17, 2001 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
December 19, 2000 - June 29, 2001
AUERBACH, POLLAK & RICHARDSON INC.
November 14, 1989 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
March 25, 1982 - November 24, 1989
WALL STREET WEST, INC.
March 23, 1981 - March 15, 1982
WHITAKER, BAUERLE & COMPANY, 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.
