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KW
KW
Kerry Dean Wills
First Western Securities, INC.
40 Years of Experience
2 Disclosures
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
First Western Securities, INC.
Compensation
Fee-Only (AUM)
Firm Size
6 advisors
Number of Clients
31 clients
Average Client Portfolio
$1.3M average
Assets Under Management
$39.9M
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Location
Lake Oswego, OR
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History
Regulatory History (2)
What are disclosures?
Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations.
Learn how to evaluate them
.
Regulatory
January 2020
Final
Criminal
June 2003
Final Disposition
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
First Western Securities, INC.
October 2020 - Present · 5 yrs 4 mos
First Western Securities, INC.
November 2009 - Present · 16 yrs 3 mos
First Western Securities, INC.
Broker
November 2009 - Present · 16 yrs 3 mos
Previous Registrations
First Western Securities, INC.
March 2012 - April 2020 · 8 yrs 1 mo
Morgan Stanley Smith Barney LLC
June 2009 - December 2009 · 6 mos
Morgan Stanley Smith Barney
Broker
June 2009 - December 2009 · 6 mos
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.
Broker
July 1992 - June 2009 · 16 yrs 11 mos
Dean Witter Reynolds INC.
Broker
April 1985 - July 1992 · 7 yrs 3 mos
State Registrations
1 state
CA
Advisor
Broker
Both
Exams
No exam information available for this advisor.
Kerry Dean Wills - Financial Advisor | TrueAdvisor