About the Firm
Western Financial Corporation is a Securities and Exchange Commission (SEC) registered investment advisor (“RIA”) dedicated to providing individuals and institutional clients with a wide array of investment advisory services. We are a privately-owned corporation headquartered in San Diego, California providing financial advisory services to multiple generations since 1976.
Richard S. Levenson
President, Chief Executive Officer & Chief Investment Officer
Rick has been with the company since 1988. He currently holds the Series 66 (Uniform Combined State Law Registration) and previously held the Series 24 (General Securities Principal), Series 4 (Registered Options Principal), Series 55 (Equity Trader), Series 79 (Investment Banking Representative), Series 99 (Operations Professional) and Series 7 (General Securities Representative) registrations. He also has a Bachelors Degree in Sociology from Pitzer College (The Claremont Colleges) and a Masters of Business Administration in International Finance from the Thunderbird School of Global Management. Rick also completed undergraduate and graduate studies at the American University of Rome (Rome, Italy) and the Ecole Superieure de Sciences Economiques et Commerciales (Paris, France). Prior to joining Western Financial Corporation, he was employed by Intrading, SA in Geneva, Switzerland where he was responsible for the management of a portfolio of equities and options, as well as Eurobonds diversified across multiple currencies. Rick currently serves on the Board of Directors of Seacoast Commerce Banc Holdings (Rancho Bernardo, CA).
Previously, he served as a director of Pacific Commerce Bancorp (Los Angeles, CA), Palomar Community Bank (Escondido, CA) and Cuyamaca Bank (Santee, CA) and was prior Chairman of the Asset and Trust Committee for the Grossmont Hospital Foundation and served on the Finance Committee of the San Diego Yacht Club.
Howard B. Levenson
Howard previously held the Series 24 (General Securities Principal), Series 28 (Financial Operations Principal), Series 53 (Registered Municipal Securities Principal), Series 55 (Equity Trader), Series 79 (Investment Banking Representative), Series 99 (Operations Professional) and Series 7 (General Securities Representative) registrations and has a Bachelor of Science degree in Business Administration from San Diego State University. He has been involved in various managerial positions in the securities industry since 1965.
Howard has served as a member of the Board of Directors of several publicly held companies listed on the New York and American Stock Exchanges, NASDAQ and the over-the-counter markets. In addition, he served as a member of the Board of Directors of Southwest Bancorp, Southwest Bank and Southwest Thrift and Loan from 1985 until they were sold in 1989. In 1996, he became an organizer and then Chairman of the Board of Southwest Community Bancorp and served in that capacity until it sold in 2006. Howard became an organizer of Vibra Bank in 2007 and was appointed as Chairman in 2014. The bank was merged with a Los Angeles based bank in 2015 at which time Howard retired. Howard is a prior Chairman of the Board of Governors of the Grossmont Hospital Foundation and has served as a Board member and advisor to several community organizations.
Steven M. Levenson
Sr. Vice-President / Investment Advisor
Steven is a Sr. Vice President and a third generation advisor at Western Financial Corporation. He joined the firm in 2017 shortly after graduating from Northern Arizona University. Steven received his Bachelors of Science in Communication Studies with an emphasis in Business Administration. He is passionate about investing and is dedicated to assisting prospective and current clients in achieving their financial goals. Providing high quality service to his clients and being involved in the local community is of paramount importance to Steven. He currently holds the Series 65 (Uniform Investment Adviser Law) and previously held the Series 63 (Uniform Securities Act) and Series 7 (General Securities Representative) licenses.
Vice President, Administration & Operations
Judy joined Western Financial Corporation in 2013 and is responsible for the firm’s day-to-day back office operations which include account processing, account transfers, deposits and wire transfers, bookkeeping and assistance with compliance and trade execution. Previously, she was with Caris & Company for over 10 years where she was involved in various operations, compliance and administrative positions.
Judy studied Business Administration at Aquinas College in Nashville, Tennessee and previously held the Series 7 (General Securities Representative), Series 24 (General Securities Principal), Series 63 (Uniform Securities Act), and Series 99 (Operations Professional) licenses.
Assistant Compliance Officer and Financial Operations Officer.
Sandie is the Assistant Compliance Officer and is the Financial Operations Officer. She has over 20 years of experience in senior management within the brokerage and registered investment advisory industries and has spent her career running the operations, finance and compliance departments of several independent broker/dealers and RIAs in the Southwest. Prior to her tenure with smaller RIAs and broker/dealer firms she was the Chief Investment Officer for Maricopa County where she ran the investments for the $1.5 billion general fund. She also helped establish a brokerage presence for Northern Trust Bank in Arizona.
Sandie graduated Magna Cum Laude with a Bachelors of Science in Accounting from Western International University. She holds her Series 66 (Uniform Combined State Law Registration) and previously held her Series 4 (Registered Options Principal), Series 7 (General Securities Representative), Series 24 (General Securities Principal), Series 27 (Financial and Operations Principal), Series 79 (Investment Banking Representative) and Series 99 (Operations Professional) licenses.
Front Office Operations
Mariela joined Western Financial Corporation in 2007. She is responsible for opening new client accounts, updating existing account files and managing account paperwork between the firm and its custodian and preparing daily order and trade blotter reports. She is oftentimes the first to greet clients when they call or visit the firm.