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Western International Securities, Inc.

CRD 39262SEC# 801-68953Pasadena, CA
Export (members)
No longer SEC-registered. Western International Securities, Inc. appears in historical Form ADV filings but is not in the current SEC roster. Figures reflect its most recent filing.
Reg. AUM
$3.51B
Employees
407
Accounts
10,904
Location
Pasadena, CA

Western International Securities, Inc. assets under management

Western International Securities, Inc. operates as an SEC-registered investment adviser based in Pasadena, CA. It reports $3.5 billion in regulatory assets under management and employs 407 people.
View on SEC.gov ↗

Western International Securities, Inc. owners & executives

9 reported
NameTitleOwnershipSince
Concept Brokerage Holding Corporation ControlHolding CompanyOver 75%1995
Laura Nicole WhiteAdvisory Chief Compliance OfficerUnder 5%2023
Mary Kathryn SimonsonChief Compliance OfficerUnder 5%2024
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Frequently asked questions

How much does Western International Securities, Inc. manage?

Western International Securities, Inc. reports $3.5 billion in regulatory assets under management on its Form ADV.

How many employees does Western International Securities, Inc. have?

Western International Securities, Inc. reports 407 employees.

Where is Western International Securities, Inc. located?

Western International Securities, Inc. is based in Pasadena, CA.

Does Western International Securities, Inc. disclose fund performance?

Western International Securities, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.

Contact & registration

Address70 S. Lake Ave., Suite 700, Pasadena, CA 91101
Office hours7:00 a.m. - 5:00 p.m.
Discloses disciplinary historyYes

Assets under management

Discretionary$3.5B
Non-discretionary$8.3M
Total (RAUM)$3.51B