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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Helen Hsi-Shan Lin

Advisor at SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES

ROLLING HILLS ESTATES, CA

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Search this name across graphsid dfx:ria:eba35636-a1f9-b25f-b7bb-297adb878074

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Oct 11, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 12, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 12, 2002
First registration: Oct 11, 2002
Dual registered: yes, broker-dealer
Other names: Hsi-Shan Lin|Helen H. Lin|Helen Lin
IAPD individual key: 4556198

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES	State registered	Jul 8, 2025	n/a	yes	ROLLING HILLS ESTATES, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Aug 21, 2017	May 30, 2025	no	Clovis, CA\|WESTLAKE VILLAGE, CA\|Rolling Hills Estates, CA\|Pasadena, CA	Previous registration
FINANCIAL WEST GROUP	Former SEC adviser	Sep 23, 2015	Aug 21, 2017	no	Pasadena, CA\|WESTLAKE VILLAGE, CA	Previous registration
FIRST BROKERAGE AMERICA, L.L.C.	n/a	Dec 2, 2011	Sep 26, 2015	no	ROWLAND HEIGHTS, CA\|LOS ANGELES, CA\|ROSEVILLE, CA\|ALHAMBRA, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Jun 8, 2005	Nov 20, 2006	no	PASADENA, CA\|PASADENA, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jul 30, 2003	May 19, 2005	no	TEMPLE CITY, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 11, 2002	Aug 4, 2003	no	LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WESTERN INTERNATIONAL SECURITIES	SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES	May 30, 2025	Jul 8, 2025	39	Firm change	Ibd to state RIA
FINANCIAL WEST GROUP	WESTERN INTERNATIONAL SECURITIES	Aug 21, 2017	Aug 21, 2017	0	Bulk transfer	Other
FIRST BROKERAGE AMERICA, L.L.C.	FINANCIAL WEST GROUP	Sep 26, 2015	Sep 23, 2015	-3	Firm change	Other
CITICORP INVESTMENT SERVICES	FIRST BROKERAGE AMERICA, L.L.C.	Nov 20, 2006	Dec 2, 2011	1,838	Firm change after gap	Other
WAMU INVESTMENTS, INC.	CITICORP INVESTMENT SERVICES	May 19, 2005	Jun 8, 2005	20	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	WAMU INVESTMENTS, INC.	Aug 4, 2003	Jul 30, 2003	-5	Firm change	Other

Relationships

Registered with (7)

→ SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATESRegistered adviserregistration: current employment
Jul 8, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Aug 21, 2017 to May 30, 2025factForm ADV
→ FINANCIAL WEST GROUPRegistered adviserregistration: previous registration
Sep 23, 2015 to Aug 21, 2017factForm ADV
→ FIRST BROKERAGE AMERICA, L.L.C.Registered adviserregistration: previous registration
Dec 2, 2011 to Sep 26, 2015factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Jun 8, 2005 to Nov 20, 2006factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jul 30, 2003 to May 19, 2005factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 11, 2002 to Aug 4, 2003factForm ADV

Dated events

Occurred
May 30, 2025
Advisor changed firm
Helen Hsi-Shan Lin left Western International Securities for Southern California Wealth Management Associates (registered 2025-07-08)
Form ADVobserved 5 days ago