Matthew J. Westfall
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew John Westfall, who also goes by Matt Westfall, was a registered financial advisor .
Matthew is a previously registered financial advisor and started their career in finance in 1983. Matthew had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2013 - December 26, 2013
PRIMEX
October 1, 2010 - December 18, 2013
NATIONAL PLANNING CORPORATION
September 1, 2010 - December 18, 2012
NATIONAL PLANNING CORPORATION
July 3, 2003 - August 31, 2010
SECURITIES AMERICA ADVISORS, INC.
May 7, 2003 - August 31, 2010
SECURITIES AMERICA, INC.
February 1, 2000 - May 13, 2003
SUNAMERICA SECURITIES, INC.
March 31, 1997 - May 13, 2003
SUNAMERICA SECURITIES, INC.
February 3, 1995 - April 1, 1997
VSR FINANCIAL SERVICES, INC.
June 22, 1992 - January 9, 1995
IDS LIFE INSURANCE COMPANY
June 22, 1992 - January 9, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
March 23, 1990 - April 21, 1992
EDWARD JONES
October 10, 1989 - March 8, 1990
INVEST FINANCIAL CORPORATION
April 6, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
April 6, 1983 - October 10, 1989
IDS LIFE INSURANCE COMPANY
April 6, 1983 - October 10, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRIMEX
CRD#: 29394 / SEC#: , 8-44331
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANTAGE TRADING LLC | OWNER | |
| FELIX, WILFREDO JR | CEO, CCO, PRINCIPAL, FINOP, DIRECTOR | 2693672 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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.
