Caryn L. Westman
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.
Caryn Lee Westman, who also goes by Caryn Lee Bernhardt, was a registered financial professional .
Caryn is a previously registered financial professional and started their career in finance in 1985. Caryn had worked at 7 firms and has passed the Series 65, Series 63, Series 7 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
November 29, 2011 - August 27, 2014
GIRARD SECURITIES, INC.
September 1, 2009 - December 22, 2009
UNITED CAPITAL FINANCIAL ADVISORS
September 21, 2005 - September 2, 2009
GIRARD SECURITIES, INC.
August 31, 2005 - December 21, 2009
GIRARD SECURITIES, INC.
January 26, 2004 - January 31, 2005
MONITOR CAPITAL INC.
May 20, 1994 - February 5, 2002
SENTRA SECURITIES CORPORATION
November 6, 1991 - October 5, 1992
SIGNATURE BROKER-DEALER SERVICES, INC.
January 1, 1989 - July 19, 1991
ALPINE BROKER SERVICES CORP.
August 21, 1985 - December 15, 1988
AMERICAN REAL ESTATE SECURITIES, INC.
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
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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