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 Bachelor’s Degree in Sociology from Pitzer College (The Claremont Colleges) and a Masters of Business Administration (MBA) 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 previously served on the Board of Directors of Seacoast Commerce Banc Holdings (Rancho Bernardo, CA), 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. He also served on the Finance Committee of the San Diego Yacht Club.
Steven M. Levenson
Steven is a Sr. Vice President with Western Financial Corporation and a third-generation investment adviser working with individuals, families, and small business owners. Over the years, Steven has developed a specialization in 401(k) plans, and other business and individual retirement accounts, and strives to assist businesses in developing retirement plan benefits that may help them attract and retain talent, incentivize performance, and potentially lower taxes, while assisting employees with their retirement goals. 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. 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.
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.
Grace is an eMoney specialist and is dedicated to assisting clients with the input and organization of their financial planning data.
She also provides assistance with formulation of client cash flow and retirement advanced planning and reporting.
Nicole is responsible for the onboarding and servicing needs of all of Western’s new and existing clients and is dedicated to ensuring that each client has an exceptional experience. Working closely with Western’s advisers, she provides support for various client related tasks including new accounts, cash contributions and withdrawals, account updates and making sure that requests are processed in a timely manner.
Nicole grew up in San Diego and graduated Summa Cum Laude from San Diego State University with a Bachelor of Science degree in Business Administration. She was also one of the Fowler School of Business’s Top Outstanding Graduates for 2020.