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WESTERN INTERNATIONAL SECURITIES, INC., CRD 39262
PASADENA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ATRIA WEALTH SOLUTIONS INC. | Shareholder | E | yes | 10/2019 | May 8, 2020 | Oct 31, 2024 |
| AWS 7, INC. | Shareholder | E | yes | 04/2020 | Mar 31, 2023 | Oct 31, 2024 |
| CONCEPT BROKERAGE HOLDING CORPORATION | HOLDING COMPANY | E | yes | 04/1995 | Feb 1, 2022 | Oct 31, 2024 |
| LPL FINANCIAL HOLDINGS, INC. | PARENT COMPANY | E | yes | 10/2024 | Oct 31, 2024 | Oct 31, 2024 |
| LPL HOLDINGS, INC. | Sharegolder | E | yes | 10/2024 | Oct 31, 2024 | Oct 31, 2024 |
| MORRISSEY, WILLIAM PAUL | President | Na | yes | 05/2023 | May 24, 2023 | Oct 31, 2024 |
| SIMONSON, MARY KATHRYN | CHIEF COMPLIANCE OFFICER | Na | no | 03/2024 | Mar 28, 2024 | Oct 31, 2024 |
| TYMKIW, TRISHA LYNN | Finop | Na | no | 05/2023 | May 24, 2023 | Oct 31, 2024 |
| WHITE, LAURA NICOLE | ADVISORY CHIEF COMPLIANCE OFFICER | Na | no | 11/2023 | Nov 17, 2023 | Oct 31, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | n/a | Bd affiliated wealth | $819B | N | yes | n/a |
| LPL ENTERPRISE, LLC | n/a | Bd affiliated wealth | $25B | N | yes | n/a |
| CADARET, GRANT & CO., INC. | n/a | Former SEC adviser | $7.7B | N | yes | n/a |
| CUSO FINANCIAL SERVICES, L.P. | n/a | Former SEC adviser | $5.4B | N | yes | n/a |
| NEXT FINANCIAL GROUP, INC. | n/a | Former SEC adviser | $3.8B | N | yes | n/a |
| GROVE POINT ADVISORS, LLC | n/a | Former SEC adviser | $2.5B | N | yes | n/a |
| GROVE POINT INVESTMENTS, LLC | n/a | Former SEC adviser | $2.0B | N | yes | n/a |
| SCF INVESTMENT ADVISORS, INC. | n/a | Former SEC adviser | $1.3B | N | yes | n/a |
| SORRENTO PACIFIC FINANCIAL, LLC | n/a | Former SEC adviser | $222M | N | yes | n/a |
| CFS INSURANCE AND TECHNOLOGY SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| FIDUCIARY TRUST COMPANY OF NEW HAMPSHIRE | n/a | n/a | n/a | N | yes | n/a |
| LPL INSURANCE ASSOCIATES, INC. | n/a | n/a | n/a | N | yes | n/a |
| NEXT FINANCIAL INSURANCE SERVICES COMPANY | n/a | n/a | n/a | N | yes | n/a |
| SCF SECURITIES, INC. | n/a | n/a | n/a | N | yes | n/a |
| THE PRIVATE TRUST COMPANY, N.A. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| CRYSTAL BAY | Nv | United States | 30 | yes |
| Northridge | CA | United States | 20 | yes |
| MITCHEL FIELD | NY | United States | 16 | yes |
| NEWPORT BEACH | CA | United States | 15 | yes |
| Campbell | CA | United States | 13 | yes |
| WOODLAND HILLS | CA | United States | 8 | yes |
| Irvine | CA | United States | 7 | yes |
| n/a | n/a | n/a | 7 | yes |
| Glendora | CA | United States | 5 | yes |
| Omaha | Ne | United States | 5 | yes |
| Northridge | CA | United States | 4 | yes |
| GRAND JUNCTION | Co | United States | 4 | yes |
| TRAVERSE CITY | Mi | United States | 4 | yes |
| Irvine | CA | United States | 3 | yes |
| LOS ANGELES | CA | United States | 3 | yes |
| Novato | CA | United States | 3 | yes |
| EL SEGUNDO | CA | United States | 2 | yes |
| Glendale | CA | United States | 2 | yes |
| Roseville | CA | United States | 2 | yes |
| SANTA ROSA | CA | United States | 2 | yes |
| Valencia | CA | United States | 2 | yes |
| WESTLAKE VILLAGE | CA | United States | 2 | yes |
| HIGHLAND PARK | IL | United States | 2 | yes |
| Missoula | Mt | United States | 2 | yes |
| Lincoln | Ne | United States | 2 | yes |
| BAKER CITY | Or | United States | 2 | yes |
| n/a | n/a | n/a | 2 | yes |
| n/a | n/a | n/a | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 28, 2025 | $3.5B | $3.5B | 407 | 200 | 76 | n/a | n/a |
| 2023 | Mar 28, 2024 | $3.7B | $3.7B | 461 | 245 | 87 | n/a | n/a |
| 2022 | Mar 31, 2023 | $3.5B | $3.5B | 424 | 301 | 119 | n/a | n/a |
| 2021 | Mar 31, 2022 | $4.0B | $4.0B | 300 | 300 | 40 | n/a | n/a |
| 2020 | Mar 31, 2021 | $3.2B | $3.2B | 60 | 50 | 40 | n/a | n/a |
| 2019 | Mar 30, 2020 | $2.6B | $2.6B | 60 | 50 | 40 | n/a | n/a |
| 2018 | Mar 29, 2019 | $1.8B | $1.8B | 55 | 35 | 40 | n/a | n/a |
| 2017 | Mar 29, 2018 | $1.8B | $1.8B | 48 | 35 | 40 | n/a | n/a |
| 2016 | Mar 31, 2017 | $971M | $971M | 35 | 20 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $900M | $900M | 35 | 20 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $1.5B | $1.5B | 35 | 20 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $1.3B | $1.3B | 30 | 20 | n/a | n/a | n/a |
| 2012 | Mar 8, 2013 | $857M | $857M | 30 | 20 | n/a | n/a | n/a |
| 2011 | Jan 13, 2012 | $550M | $550M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | n/a | 0 | 0 | 0 | 1 | 63 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $3.5B | $3.7B | -4.7% | $4.0B | -3.9% | 407 | 461 | 76 | 87 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| THE SOCIAL EQUITY GROUP, INC. | 2 | Jun 5, 2025 | Jul 18, 2023 | CAMPBELL, CA | Team lift out | Other | 1.1% |
| IGNITE PLANNERS LLC | 3 | Feb 7, 2025 | Mar 25, 2025 | IRVINE, CA | Team lift out | Ibd to RIA | 1.5% |
| CARNEGIE WEALTH MANAGEMENT LLC | 2 | Jan 4, 2024 | Apr 11, 2024 | PASADENA, CA | Team lift out | Ibd to new firm | 0.9% |
| FORT SHERIDAN ADVISORS LLC | 2 | Aug 18, 2023 | Nov 19, 2018 | PASADENA, CA | Team lift out | Ibd to RIA | 0.9% |
| Dynamic | 2 | Jun 1, 2023 | Apr 28, 2023 | PASADENA, CA | Team lift out | Ibd to RIA | 0.9% |
| CORE WEALTH PARTNERS LLC | 2 | Dec 31, 2022 | Oct 13, 2022 | PASADENA, CA | Team lift out | Ibd to new firm | 0.8% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Jun 24, 2019 | Jul 5, 2019 | OMAHA, NE | Team lift out | RIA to ibd | 0.9% |
| BCS PRIVATE WEALTH MANAGEMENT | 2 | Sep 2, 2015 | Apr 17, 2015 | ATLANTIC HIGHLANDS, NJ | Team lift out | Other | 1.9% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| NPB FINANCIAL GROUP, LLC | 3 | Jun 27, 2022 | Jun 24, 2022 | IRVINE, CA | Team lift out | RIA to ibd | 10.7% |
| RJJ PASADENA SECURITIES, INC. | 2 | Dec 11, 2020 | Nov 13, 2020 | HENDERSON, NV | Team lift out | RIA to ibd | 40.0% |
| WELLS FARGO ADVISORS | 2 | Jul 6, 2020 | Jul 2, 2020 | NEWPORT BEACH, CA | Team lift out | Wirehouse to ibd | 0.0% |
| J.P. MORGAN SECURITIES LLC | 2 | Nov 14, 2019 | Nov 5, 2019 | ENCINO, CA | Team lift out | Wirehouse to RIA | 0.0% |
| MORGAN STANLEY | 2 | Jun 10, 2019 | Aug 13, 2019 | LOS ANGELES, CA | Team lift out | Wirehouse to RIA | 0.0% |
| D.A. DAVIDSON & CO. | 2 | Jan 14, 2019 | Jan 14, 2019 | PASADENA, CA | Team lift out | RIA to RIA | 0.5% |
| NORTHEAST ASSET MANAGEMENT LLC | 5 | Dec 11, 2018 | Nov 28, 2018 | MIAMI, FL | Firm absorbed | RIA to RIA | 71.4% |
| CITIGROUP GLOBAL MARKETS INC. | 3 | May 2, 2018 | Apr 9, 2018 | FT LAUDERDALE, FL | Team lift out | Ibd to RIA | 0.3% |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | 2 | Jan 2, 2018 | Aug 19, 2019 | EL SEGUNDO, CA | Team lift out | Other | 5.3% |
| J.P. MORGAN SECURITIES LLC | 2 | Jun 28, 2017 | Dec 2, 2017 | HOLLYWOOD, CA | Team lift out | Other | 0.0% |
| PROTECTED INVESTORS OF AMERICA | 2 | Jul 11, 2016 | Jun 20, 2016 | SAN FRANCISCO, CA | Team lift out | Other | 10.5% |