Western International Securities

CRD#39262
Investment Advisor Firm

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Learn more about Western International Securities

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Western International Securities is a financial advisory company located in Pasadena, California. It handles $3.5 billion in assets across 12,253 customer accounts, making it one of the biggest firms in the United States by assets under management (AUM). It has a large team, including 301 financial advisors. Western International Securities is not a registered broker-dealer, meaning the advisor is not able to buy and sell securities for its customers' and own accounts and instead must go through a broker-dealer company to do so. Securities are exchangable financial assets like stocks, options and bonds.

    Western International Securities oversees more than half of its client assets in a discretionary manner. Discretionary management means that a portfolio manager has the discretion to make transaction decisions without requiring client approval. Western International Securities also manages seven non-discretionary accounts with a total of $2.2 million in AUM. The company's average account size is $283,980. The average financial advisor at Western International Securities manages around 41 client accounts, placing it towards the middle in terms of personalization.

    The company's central office is at 70 S. Lake Ave., Pasadena, California 91101. Western International Securities is permitted to provide services to customers throughout 51 U.S. states and territories.

    Assets Under Management

    $3.5 billion

    Number of Advisors

    301

    Disclosures

    No

    Office Location

    70 S. Lake Ave.
    Pasadena, CA 91101

    Western International Securities by the Numbers

    Total Assets Under Management

    $3.5 billion

    National Average: $8.6 billion
    Total Number of Employees

    424

    National Average: 64
    Total Number of Accounts

    12,253

    National Average: 375,227
    Average Account Size

    $284.0 thousand

    National Average: $23.0 thousand
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    Products and Services

    Western International Securities provides a number of financial services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services and selection of other advisers. In the last financial year, it provided financial planning services to 51-100 of its customers. It is involved in selling products or offering services other than investment advisory services to its customers. It is also affiliated with a number of other service providers in the financial services industry, including with a broker-dealer or securities dealer and insurance company or agency.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Find a firm that offers this service

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees charged by financial advisors are based on the services offered. Fee types billed by Western International Securities most likely consist of some blend of the following fee types: asset-based, hourly or fixed. Western International Securities participates in a wrap fee program, in which the company offers a bundle of services for a single fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The company does business with a broad range of clients. Western International Securities provides services to retail investors, high net worth investors, pension plans, charitable organizations and corporations. Out of its 12,253 accounts, Western International Securities's biggest client by number of accounts is retail investors, although it also caters to 561 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 in AUM or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the company's accounts are represented by people from outside of the U.S.

    • High-Net-Worth Individuals* - 4.58%
    • Other Individuals - 93.03%
    • Corporations - 2.16%
    • Charitable Organizations - 0.23%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Western International Securities does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Western International Securities

    Given Kutz
    Northridge, CA
    George Sinanis
    Westlake Village, CA
    Ivan Parry
    Pasadena, CA
    Sandi Chui
    Pasadena, CA
    Noriko Ikeda
    Crystal Bay, NV
    Allen Solis
    Westlake Village, CA
    Norma Cunanan
    Pasadena, CA
    Brian Schwartz
    Woodland Hills, CA
    Michael Gorak
    Pasadena, CA

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