Unclaimed Profile

Ellen Kathia Shearin

FINANCIAL WEST INVESTMENT GROUP, INC.·WESTLAKE VILLAGE, California

SIE, Series 7, Series 24, Series 66, Series 79TO, Series 99TOClean record20 years registeredFINANCIAL WEST INVESTMENT GROUP, INC.

4510 E. THOUSAND OAKS BLVD., WESTLAKE VILLAGE, CA 91362CRD# 2603576Firm CRD# 16668

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Ellen Kathia Shearin · WESTLAKE VILLAGE, CA

Registration

CRD #2603576 · FINANCIAL WEST INVESTMENT GROUP, INC. · 20 years registered

Brand Profile

Not yet started

Career History

MUTUAL ADVISORS, LLC

Jun 2022 – present

MUTUAL SECURITIES, INC.

Jun 2022 – present

WESTERN INTERNATIONAL SECURITIES

Aug 2017 – May 2022

Pasadena, CA

FINANCIAL WEST GROUP

Aug 2015 – Aug 2017

WESTLAKE VILLAGE, CA

FINANCIAL WEST GROUP

Aug 2008 – May 2014

WESTLAKE VILLAGE, CA

AFA ADVISOR SERVICES LLC

Feb 2008 – Aug 2008

CALABASAS, CA

FINANCIAL WEST GROUP

Feb 2006 – Feb 2008

WESTLAKE VILLAGE, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 66

Series 79TO

Series 99TO

Registration record

First registered · February 8, 2006

Years registered · 20

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

FINANCIAL WEST INVESTMENT GROUP, INC.

CRD 16668 · SEC 801-57393

AUM

$180K

Regulatory assets under management

Employees

1 client accounts

Services offered by FINANCIAL WEST INVESTMENT GROUP, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FINANCIAL WEST INVESTMENT GROUP, INC. →

Introduction

Speak with Ellen Kathia

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Ellen Kathia is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in WESTLAKE VILLAGE?

Browse all registered financial advisors in WESTLAKE VILLAGE, California or claim this profile if it's yours.

Browse WESTLAKE VILLAGE Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Ellen Kathia Shearin offer?

Ellen Kathia Shearin specializes in Financial Planning, Investment Management. Contact their office in WESTLAKE VILLAGE, California for a consultation.

What are Ellen Kathia Shearin's credentials?

Ellen Kathia Shearin is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Ellen Kathia Shearin located?

Ellen Kathia Shearin is based in WESTLAKE VILLAGE, California, working with FINANCIAL WEST INVESTMENT GROUP, INC.. Their office serves clients in the WESTLAKE VILLAGE metropolitan area and surrounding communities.

How does Ellen Kathia Shearin charge for services?

Ellen Kathia Shearin's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FINANCIAL WEST INVESTMENT GROUP, INC.?

FINANCIAL WEST INVESTMENT GROUP, INC. has approximately 4 employees and manages $180K in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →