Allen R. 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.
Allen Ray Westerman was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1985. Allen had worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 50 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
May 19, 2006 - December 19, 2023
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
October 21, 2002 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
November 30, 1989 - October 30, 1990
KNIBBE FINANCIAL GROUP, INC.
July 23, 1985 - December 18, 1987
KNIBBE FINANCIAL GROUP, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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