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Home > Financial Services > Stock Brokers > Western International Securities, Inc.
Western International Securities, Inc.
Western International Securities, Inc. is a member of NASD, the National Association of Securities Dealer. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
Compared to some industry giants, they may be considered a small firm. They believe this is one of their many strengths. Each client is important to them and is served by the personal touch of his or her own Western International investment professional.
Their financial professionals incorporate state-of-the-art information networks in helping you make informed decisions affecting your financial success. They incorporate state-of-the-art information networks in helping you make informed decisions affecting your financial success.
They provide access to thousands of individual securities and form alliances with the nation's leading providers of investment and insurance products.
They disclose in writing a summary of their BCP to customers at account opening. They also post the summary on their web site and mail it to customers upon request. Their summary addresses the possibility of a future SBD and how they plan to respond to events of varying scope.
In addressing the events of varying scope, their summary provides specific scenarios of varying severity, states whether they plan to continue business during that scenario and, if so, their planned recovery time, and provides general information on their intended response. Their summary discloses the existence of back-up facilities and arrangements.
Their firm’s policy is to respond to a Significant Business Disruption by safeguarding their employee’s lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing their customers to transact business.
Their company conducts business in equity, fixed income, and derivative securities and is an introducing firm and does not perform any type of clearing function for itself or others.
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