WESTERN INTERNATIONAL SECURITIES, INC. of PASADENA, CA is an SEC-registered investment adviser (CRD 39262). Regulatory assets under management: $3.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Laura Nicole White | ADVISORY CHIEF COMPLIANCE OFFICER | — |
| Mary Kathryn Simonson | CHIEF COMPLIANCE OFFICER | — |
| Trisha Lynn Tymkiw | FINOP | — |
| William Paul Morrissey | PRESIDENT | — |
| BIZUB DONALD MICHAEL | BOARD OF DIRECTORS MEMBER; CEO/CFO/MP/DIRECTOR; CEO/MP/DIRECTOR (+1 more) | — |
| WATANABE CRAIG ROBERT | CHIEF COMPLIANCE OFFICER (CCO)/DIRECTOR; DIRECTOR OF COMPLIANCE/DIRECTOR | — |
| GILLILAND RICHARD LEE JR | VP/DIRECTOR | — |
| WIRTH GUENTER RAINER | MANAGING DIRECTOR; MANAGING DIRECTOR TRADING; SENIOR VP OF TRADING AND OPERATIONS | — |
| MORRISSEY BRIAN PAUL | PRESIDENT | — |
| KUO ANDREW C | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER; MANAGING DIRECTOR | — |
| HOGEN JON NOEL | VP/DIRECTOR/CORP SECY | — |
| TYMKIW TRISHA LYNN | FINOP | — |
| SIMONSON MARY KATHRYN | CHIEF COMPLIANCE OFFICER | — |
| COY DARCIE JEAN | FINOP/DIRECTOR | — |
| KAISER BRADLEY CLIFFORD | CHIEF COMPLIANCE OFFICER | — |
| REA WENDY AUSTIN | SR. MANAGING DIRECTOR | — |
| WHITE LAURA NICOLE | ADVISORY CHIEF COMPLIANCE OFFICER | — |
Showing 10 of 12 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-07-29 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST WESTERN INTERNATIONAL SECURITIES, INC. ("WESTERN" OR "RESPONDENT"). IN ANTICIPATION OF THE INSTITUT… | Final | $140K |
| 2024-07-29 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE SUITABILITY REQUIREMENTS OF FINRA RULE 2111 AS THEY… | Final | $465K |
| 2022-10-31 | regulatory | FROM 2013 TO 2017, WESTERN FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ITS SUITABILITY OBLIGATIONS IN CONNECTION WITH RECOMMENDATIONS OF NON-TRADED REAL ESTATE INVESTMENT TRUSTS (NON-TRADED… | Final | $400K |
| 2022-06-16 | regulatory | ALLEGED VIOLATIONS OF CERTAIN PROVISIONS OF THE FEDERAL SECURITIES LAWS, INCLUDING RULE 15L-1(A)(1), RULE 15L-1(A)(2) AND SECTION 20(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"). | Pending | — |
| 2022-06-15 | civil | THIS MATTER CONCERNS ALLEGED VIOLATIONS BY WESTERN AND FIVE OF ITS REGISTERED REPRESENTATIVES OF THE BEST INTEREST OBLIGATION UNDER RULE 15L-1(A) OF THE SECURITIES 22 EXCHANGE ACT OF 1934 ("REGULATION BEST INTEREST" OR "REG BI") IN CONNECTION WITH 23 THEIR RECOMMENDATIONS TO RETAIL CUSTOMERS TO PURC… | Final | $160K |
| 2020-12-18 | regulatory | VIOLATION OF FINRA RULE 2360 (OPTION POSITION LIMITS), 3110 AND 2010. | Final | $20K |
| 2019-12-19 | regulatory | VIOLATION OF ARTICLE V, SECTION 2(C) OF FINRA'S BY-LAWS AND FINRA RULE 2010 - FAILURE TO TIMELY DISCLOSE FINANCIAL EVENTS ON FORM U4; AND, VIOLATION OF FINRA 3110(A) AND FINRA RULE 2010 - FAILURE TO ESTABLISH AND MAINTAIN AN ADEQUATE SUPERVISORY SYSTEM INCLUDING WRITTEN SUPERVISORY PROCEDURES TO ENS… | Final | $325K |
| 2019-07-16 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS WHO WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE F… | Final | $75K |
| 2018-02-28 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WSPS REASONABLY DESIGNED TO ENSURE THAT REGISTERED REPRESENTATIVES' RECOMMENDATIONS REGARDING LEVERAGED, INVERSE, AND… | Final | $125K |
| 2017-08-21 | regulatory | WESTERN FAILED TO REPORT 146 MUNICIPAL SECURITIES TRANSACTIONS TO THE RTRS IN THE MANNER PRESCRIBED BY THE MSRB. SPECIFICALLY, THE FIRM INACCURATELY INCLUDED A COMMISSION CHARGE FOR EACH OF THESE 146 TRANSACTIONS EVEN THOUGH THEY WERE SUBMITTED AS PRINCIPAL TRADES. AS A RESULT, THE TRANSACTION REPOR… | Final | $20K |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| WESTLAKE VILLAGE | CA | 55 | (805) 496-0988 |
| — | — | 19 | 775-832-5178 |
| NORTHRIDGE | CA | 17 | (818) 280-0280 |
| MASSAPEQUA | NY | 15 | (516) 396-1600 |
| NEWPORT BEACH | CA | 14 | (562) 781-5140 |
| CAMPBELL | CA | 9 | (408) 294-4100 |
| WOODLAND HILLS | CA | 7 | (818) 996-3375 |
| — | — | 7 | (707) 658-1770 |
| IRVINE | CA | 6 | (800) 874-0768 |
| OMAHA | NE | 6 | (866) 933-4642 |
| LINCOLN | NE | 5 | (866) 933-4642 |
| GLENDORA | CA | 5 | (626) 529-2362 |
| NORTHRIDGE | CA | 4 | (818) 812-9203 |
| TRAVERSE CITY | MI | 4 | (231) 929-9600 |
| IRVINE | CA | 3 | (949) 271-6430 |