Privacy Policy

Notice of Privacy Policy

As your registered investment adviser, Western Financial Corporation takes your privacy very seriously. We want you to understand what information we collect and how we use it.

We collect and use “non-public personal information” from our new account forms to help us determine suitability for certain investments, and to satisfy the requirements of various regulatory agencies that us. We do not disclose “non-public personal information” about you to non-exempt third parties.

In addition, we do not reserve the right to disclose “non-public personal information” to affiliates or non-affiliated third parties, except to non-affiliated third parties as authorized by law. This includes financial institutions where joint marketing agreements are in effect.

We may also collect “non-public personal information” about you from data we receive from non-affiliated third parties, including consumer and industry reporting agencies.

Western Financial Corporation maintains physical and electronic safeguards to protect your non-public information.


Business Continuity Planning

Disaster Recovery and Business Continuation Program

Western Financial Corporation has developed a Business Continuity Plan which describes how we will respond to events that may significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

CONTACTING US – If, after a significant business disruption you cannot contact us as you usually do at (619) 544-0260, (619) 234-0196, or (619) 234-3235 you should call our alternative cell phone numbers, (619) 813-3341 or (858) 692-0037. You may also contact us by e-mail at rick@westfincorp.com or judy@westfincorp.com. If you cannot access us through any of those means, you should contact our our custodial firm, TD Ameritrade, at (800) 431-3500 option 2, or at independence@tdameritrade.com, for instructions on how it may provide prompt access to your funds and securities, permit you to enter orders, and process other trade-related, cash, and security transfer instructions, and, in general, answer questions related to your account.

OUR BUSINESS CONTINUITY PLAN – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our custodial firm, TD Ameritrade, Inc., backs up our important records in geographically separate areas. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our custodial firm, that their objective is to restore their own operations and be able to complete existing transactions and accept new transactions and payments within the same day. Your orders and requests for funds and securities could be delayed during this period.

VARYING DISRUPTIONS – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm, or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within the same day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within the same day or shortly thereafter. In either situation, we plan to continue in business, transfer operations to our custodial firm, if necessary, and notify you through our customer emergency numbers, (619) 813-3341 or (858) 692-0037, how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities through our custodial firm, TD Ameritrade, Inc.

FOR MORE INFORMATION – If you have questions about our business continuity planning, you may contact us in person at 600 “B” Street, Suite 2204, San Diego, CA 92101, by telephone at (619) 234-3235, (619) 234-0196, or (619) 544-0260, or by e-mail at rick@westfincorp.com.


Career Opportunities

Western Financial Corporation is currently seeking Series 7, Series 63 and Series 65 or Series 66 licensed financial advisors with an established book of business.

For more information, please contact:

Rick Levenson
President, CEO & CIO
(619) 544-0260
(800) 488-5990


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