Overview

I work at Western International Securities (___) which is an independent broker dealer which was established in 1995. The company, which is headquartered in Pasadena, has over 30 offices across the US, about 750 reps, and approximately 12 billion in assets under management. We have access to a full array of products and services as well as advanced trading capabilities, block trading, fixed income desks, and managed account programs. Western clears through NFS, Pershing, and Wedbush, but most of of my team assets are held at Fidelity (NFS) for name recognition, comfort, and because we have unlimited SIPC coverage (happy to supply documentation where necessary).

I have an undergraduate degree and MBA in finance from the University of Notre Dame. While in school, I interned on fixed income trading desks at RBC. After grad school, I worked in investment banking doing securitization (origination and structuring) for middle market companies in the 100-900 million dollar range. I then moved over to JP Morgan in 2008, when the markets fell apart, and worked with their private bank and private client groups for almost 10 years. As of a year ago, I transitioned to Western International Securities so that I could give my core clients more attention and customized solutions which were seemingly lacking at most of the large banks I interviewed.

My partner, who is in the process of getting his CFP and an MBA in financial planning (done early next year), worked in private equity with a UK investment bank out of college. He then transitioned to a fund company where he worked as a wholesaler for a short time before moving to JP Morgan where he spent around 10 years with their wealth management group until he came to Western International Securities. When we left JP Morgan, we were collectively managing around $180 million in assets and doing about 1.5 million in revenue.

We are looking to buy practices or transition practices for people who are looking to retire in the next 2-3 years.

Market
Advisor/RIA
Member Level
Basic
Last Activity
within 3 months
Listing Age
1,243 days old

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