Duane L. Westerman
Professional summary
Duane Lee Westerman is a registered financial professional currently at SAMCO CAPITAL MARKETS, INC. located in San Antonio, Texas.
Duane is registered as a RR (Registered Representative) and started their career in finance in 1985. Duane has worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 50, Series 7, Series 10, Series 9, Series 53, Series 8, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Duane Lee Westerman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 17, 2005 - Present
SAMCO CAPITAL MARKETS, INC.
Office #1: 1020 Ne Loop 410 Suite 640, San Antonio, TX 78209February 3, 2003 - June 16, 2006
PENSON FINANCIAL SERVICES, INC.
July 20, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
February 14, 2000 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
October 19, 1990 - February 15, 2000
HILLTOP SECURITIES INC.
July 6, 1989 - October 30, 1990
KNIBBE FINANCIAL GROUP, INC.
July 31, 1985 - July 27, 1989
M. E. ALLISON & CO., 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
(3/12/2010)
(11/17/2015)
(10/17/2005)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 11/15/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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