Craig L. Reynolds
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.
Craig Low Reynolds was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1988. Craig had worked at 8 firms and has passed the Series 63, Series 7 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2007 - December 31, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
December 7, 2006 - February 5, 2007
CROWELL, WEEDON & CO.
July 11, 2001 - July 17, 2001
WELLS FARGO INVESTMENTS, LLC
July 11, 2001 - December 7, 2006
THE SEIDLER COMPANIES INCORPORATED
September 26, 1996 - July 11, 2001
WELLS FARGO SECURITIES, LLC
September 16, 1993 - September 19, 1996
PRUDENTIAL EQUITY GROUP, LLC
December 3, 1990 - September 16, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 24, 1988 - December 5, 1990
UBS FINANCIAL SERVICES 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.
