John A. Westerman
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.
John Alan Westerman was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2013 - December 31, 2015
MORRIS GROUP, INC.
September 14, 2011 - December 16, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 11, 2008 - October 8, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 17, 2001 - May 10, 2007
ONEAMERICA SECURITIES, INC.
March 17, 1995 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
March 30, 1993 - December 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 24, 1984 - March 29, 1993
JOHN HANCOCK DISTRIBUTORS 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
MORRIS GROUP, INC.
CRD#: 13181 / SEC#: , 8-28916
Contact information
FINRA licenses (2 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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