Richard Levenson has been President, CEO, CCO & CIO (Since 12/2016), Trustee of the Richard S. Levenson Trust U/A 12/02/2014 (Since 04/2015) of Western Financial since December 2016, is a control person of the firm and directly owns under 5% of it. Richard Levenson holds a Bachelor's Degree in Sociology from Pitzer College (The Claremont Colleges), a Masters of Business Administration (MBA) in International Finance from Thunderbird School of Global Management and an Ecole Superieure de Sciences Economiques et Commerciales. Richard Levenson studied at American University of Rome.
Western Financial Corporation is a San Diego, CA firm with $414M under management, 180 clients and 2 advisers across 3 offices, as of its September 2026 filing.
Rick Levenson is Chief Executive Officer & Chief Investment Officer of Western Financial Corporation. He has been with the company since 1988. Before 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.
Richard Levenson’s longest registration is the current one, 9 years at Western Financial since 2017. Before joining Western Financial in 2017, Richard Levenson was registered through Levenson & Company, LLC.
- Levenson & Company, LLC– · 1 yearSan Diego, CA · Adviser representative · Firm CRD 133421
Investment adviser representative registrations
Richard Levenson is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from February 2017; the most recent is Idaho, in September 2026.
- CaliforniaSince 13 February 2017
- IdahoSince 8 September 2026
- TexasResidentSince 29 January 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 9 September 2013 |
| Series 24 | General Securities Principal Examination | 19 March 2007 |
| Series 55 | Limited Representative-Equity Trader Exam | 12 February 2000 |
| Series 4 | Registered Options Principal Examination | 4 April 1990 |
| Series 7 | General Securities Representative Examination | 20 June 1987 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Registered Options Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Steven Levenson
- CRD
- 1683935
- Firm
- Western Financial · CRD 6118
- Role
- President, CEO, CCO & CIO (Since 12/2016), Trustee of the Richard S. Levenson Trust U/A 12/02/2014 (Since 04/2015)
- Registration
- Investment adviser registration
- In the industry since
- June 1987
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- westfincorp.com
Where does Richard Levenson work?
Richard Levenson has been President, CEO, CCO & CIO (Since 12/2016), Trustee of the Richard S. Levenson Trust U/A 12/02/2014 (Since 04/2015) of Western Financial Corporation since December 2016, and is a control person of the firm.
Is Richard Levenson a financial advisor?
Yes. Richard Levenson has a current investment-adviser registration in California, Idaho and Texas, through Western Financial since February 2017.
How many years of experience does Richard Levenson have?
Richard Levenson has 39 years in the financial industry, since June 1987, across 2 adviser firms.
What exams has Richard Levenson passed?
Richard Levenson has passed 5 licensing exams: the Series 7, Series 4, Series 55, Series 24 and Series 66. The earliest, the Series 7, was passed in June 1987. FINRA credited Richard Levenson with the SIE, which began in October 2018.
Where did Richard Levenson work before Western Financial?
Before Western Financial, Richard Levenson was registered through Levenson & Company, LLC, March 2005 to September 2006.
Is Richard Levenson registered with FINRA?
No. Richard Levenson has no current broker registration.
How can I verify Richard Levenson’s record?
Search CRD 1683935 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Levenson’s full registration record.