Christopher B. Kennedy (CRD#: 4498061) is a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2002 and previously worked for Western International Securities, Inc; Spartan Capital Securities, LLC; Financial West Group (FINRA Expelled this firm); Multi-Financial Securities Corporation; and RBC Dain Rauscher Inc.   Allegations of Misconduct According […]

Michaela Rauscher (CRD#: 5399032) is a registered Broker and Investment Adviser at Western International Securities, Inc., in Westlake Village, CA. Broker’s Background She entered the securities industry in 2007 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct According to publicly available records released by the Financial […]

Larry Burton (CRD#: 4297802) is a registered Broker and an Investment Adviser at Western International Securities, Inc., in Westlake Village, CA. Broker’s Background He entered the securities industry in 2000 and previously worked for Citigroup Global Markets, Inc.; Citicorp Investment Services; and Merrill Lynch Pierce Fenner & Smith, Inc. Current And Past Allegations Of Conduct […]

Efrain Trujillo (CRD#: 3106482) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1998 and previously worked for Western International Securities, Inc.; Financial West Group; and SRM Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Christopher B. Kennedy (CRD#: 4498061) was a dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2002 and previously worked for Western International Securities, Inc.; Spartan Capital Securities, LLC; Financial West Group; Multi-Financial Securities Corporation; and RBC Dain Rauscher, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Thomas Swan (CRD#: 1698430) is a dually registered Broker and Investment Advisor at Western International Securities, Inc. in Westlake Village, CA. Broker’s Background He entered the securities industry in 1987 and previously worked for Financial West Group; WM Financial Services, Inc.; Great Western Financial Securities, Corp.; SunAmerica Securities, Inc.; IFG Network Securities, Inc.; Sentra Securities […]

Peter Steege (CRD # 1060713) is a Financial Advisor at Western International Securities in Denver, Colorado. Peter Steege has been in the securities industry since 1982 and previously worked at Sands Brothers and Global Capital Securities. “The Wolper Law Firm, P.A. recently filed an arbitration claim against Western International Securities based upon alleged sales practice […]

David Bibo (CRD # 2602436) is a Financial Advisor at Western International Securities, Inc. in San Jose, CA. David Bibo has been in the securities industry since 1995 and previously registered with Myclearing.com, Interfirst Capital Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to publicly available records released by the Financial Industry Regulatory […]

Dennis Mehringer, Jr. (CRD # 722569) was a Financial Advisor at Western International Securities in Pasadena, California. Dennis Mehringer has been in the securities industry since 1981 and previously worked at First Allied Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on Octobner 18, 2019, Dennis Mehringer was barred […]

John Rosas Jaramillo (CRD # 2659263) was a Financial Advisor at Western International Securities, Inc. in Westlake Village, CA. John Jaramillo has been in the securities industry since 1996 and previously worked for Financial West Group and PFS Investments, Inc. John Jaramillo is not currently registered as a broker. According to publicly available records released […]