Sandie Turley

WESTERN FINANCIAL

Mesa, AZ

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CRD#: 1654884

Professional summary

Sandie Turley, who also goes by Sandie Nmn Turley, is a registered financial advisor currently at WESTERN FINANCIAL CORPORATION located in Mesa, Arizona.

Sandie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Sandie has worked at 13 firms and has passed the Series 66, Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 87, Series 7, Series 6, Series 27, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sandie Nmn Turley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. S. TURLEY & CO., LLC, START: 06/01/2012, NOT INVESTMENT RELATED. 3556 TURKEY TRACK RD., PINETOP, AZ 85935, CONSULTING FOR ACCOUNTING AND COMPLIANCE FOR SMALL BUSINESSES, MANAGING MEMBER, 25 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. WD MANAGEMENT, DIRECTOR OF FINANCE, NOT INVESTMENT RELATED. 40 HOURS/WEEK, START: 01/27/20.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandie Turley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 13, 2017 - Present

WESTERN FINANCIAL CORPORATION

RIA

CRD#: 6118

Mesa, AZ

Past

February 28, 2017 - July 21, 2020

WESTERN FINANCIAL CORPORATION

CRD#: 6118

SAN DIEGO, CA

Past

June 25, 2015 - December 31, 2015

ARQUE CAPITAL, LTD.

RIA

CRD#: 121192

SCOTTSDALE, AZ

Past

June 15, 2015 - January 8, 2016

ARQUE CAPITAL, LTD.

CRD#: 121192

SCOTTSDALE, AZ

Past

April 7, 2014 - June 15, 2015

NOVA FINANCIAL SERVICES

RIA

CRD#: 150148

CHANDLER, AZ

Past

March 24, 2014 - June 18, 2015

MUTUAL SECURITIES, INC.

CRD#: 13092

CHANDLER, AZ

Past

April 30, 2013 - March 17, 2014

WESTERN FINANCIAL CORPORATION

CRD#: 6118

SAN DIEGO, CA

Past

September 29, 2004 - June 1, 2012

CARIS & COMPANY, INC.

CRD#: 104235

SAN DIEGO, CA

Past

May 16, 2002 - June 24, 2002

EMPIRE CAPITAL GROUP, LLC

CRD#: 47179

PHOENIX, AZ

Past

February 7, 2002 - November 8, 2002

CGS FINANCIAL INC.

CRD#: 43125

SCOTTSDALE, AZ

Past

January 31, 2001 - February 1, 2002

HERITAGE WEST SECURITIES, INC.

CRD#: 30718

SCOTTSDALE, AZ

Past

August 16, 2000 - December 12, 2000

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

February 23, 2000 - August 22, 2000

HERITAGE WEST SECURITIES, INC.

CRD#: 30718

SCOTTSDALE, AZ

Past

March 8, 1993 - June 23, 1994

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

September 3, 1992 - March 12, 1993

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

June 12, 1989 - September 1, 1992

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

April 15, 1987 - July 1, 1987

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WESTERN FINANCIAL CORPORATION

CRD#: 6118 / SEC#: 801-117841, 8-18021

RIA

Registered Investment Advisory firm - SEC (1/2/2020 Approved)

California

Registered Investment Advisory firm - SEC (2/6/2020 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/7/2020 Terminated)

Terminated by SEC on 07/13/2020

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/13/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/24/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/24/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/5/2024

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 3/5/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 3/5/2024

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 8/1/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 5/8/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/13/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 3/5/2024

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/5/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/5/2024

Registered Options Principal Examination

Current Firm

WESTERN FINANCIAL CORPORATION

CRD#: 6118 / SEC#: 801-117841, 8-18021

RIA

Registered Investment Advisory firm - SEC (1/2/2020 Approved)

California

Registered Investment Advisory firm - SEC (2/6/2020 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/7/2020 Terminated)

Terminated by SEC on 07/13/2020

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Contact information

Main Address

13400 Sabre Springs Parkway Ste. 170, San Diego, CA 92128

Mailing Address

Phone number

(619) 544-0260

Established

California since 10/04/1971

Firm type

Corporation

Fiscal year end

September

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B (10/29/2025)

Direct owners and executive officers

Name	Position	CRD#
LEVENSON, RICHARD STEVEN	PRESIDENT, CEO, CCO & RIA CHIEF INVESTMENT OFFICER	1683935
TURLEY, SANDIE	CFO/FINOP/PRIN FIN OFFICER/PRIN OPS OFFICER	1654884

Regulatory assets under management

Total Number of Accounts	398
AUM (Assets Under Management)	$ 309,189,116

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Sandie Turley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandie Turley's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN FINANCIAL CORPORATION

ARQUE CAPITAL, LTD.

ARQUE CAPITAL, LTD.

NOVA FINANCIAL SERVICES

MUTUAL SECURITIES, INC.

WESTERN FINANCIAL CORPORATION

CARIS & COMPANY, INC.

EMPIRE CAPITAL GROUP, LLC

CGS FINANCIAL INC.

HERITAGE WEST SECURITIES, INC.

DONAHUE SECURITIES, INC.

HERITAGE WEST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC.

PRINCIPAL FINANCIAL SECURITIES,INC.

RAUSCHER PIERCE REFSNES, INC.

ADVANTAGE CAPITAL CORPORATION

Primary Firm SEC Registration

WESTERN FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 1/24/2014

Series 63

Date: 7/24/2000

Series 7TO

Date: 3/5/2024

Series 79TO

Date: 3/5/2024

Series 99TO

Date: 3/5/2024

SIE

Date: 10/1/2018

Series 87

Date: 8/1/2005

Series 7

Date: 5/8/2000

Series 6

Date: 4/13/1987

Series 27

Date: 3/5/2024

Series 24

Date: 3/5/2024

Series 4

Date: 3/5/2024

Current Firm

WESTERN FINANCIAL CORPORATION

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

WESTERN FINANCIAL CORPORATION

TRUST BUT VERIFY

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