Joseph Dilillo
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.
Joseph Dilillo was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1975. Joseph had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - November 18, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
January 16, 2008 - August 21, 2017
FINANCIAL WEST GROUP
October 15, 2002 - January 16, 2008
THE SHEMANO GROUP, INC.
February 11, 2002 - October 21, 2002
FIRST ALLIED SECURITIES, INC.
May 18, 2000 - February 11, 2002
INTERFIRST CAPITAL CORPORATION
April 29, 1999 - October 2, 2000
PARAGON CAPITAL MARKETS, INC.
March 27, 1985 - May 18, 2000
DRAKE & COMPANY, INC.
October 5, 1976 - April 8, 1985
FIRST WILSHIRE SECURITIES, INC.
June 30, 1976 - October 30, 1976
BIRR, WILSON & CO., INC.
March 24, 1975 - August 26, 1976
C. M. BLAIR, W. O. FOSTER & 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
Series 40
Date: 9/25/1978
Registered Principal 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.
