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WESTERN INTERNATIONAL SECURITIES

PASADENA, CA · CRD 39262 · IAPD ↗ · wisdirect.com · (888) 793-7717

$3.51BRegulatory AUM
200Advisory reps
407Employees
907Clients
101-250Planning clients
0Private funds
53States
13Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
December 2025 — WESTERN INTERNATIONAL SECURITIES (PASADENA, CA) left the SEC roster (was $3.51B RAUM, 200 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
55
April 2025 — WESTERN INTERNATIONAL SECURITIES shrank from 245 to 200 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
66
April 2025 — WESTERN INTERNATIONAL SECURITIES reports 101-250 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
55
October 2024 — WESTERN INTERNATIONAL SECURITIES's Item 11 disclosure-reporting entries rose by 6 (19 -> 25).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
47
April 2024 — WESTERN INTERNATIONAL SECURITIES notice-filed in PR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — WESTERN INTERNATIONAL SECURITIES shrank from 301 to 245 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.