Richard C. Westlake
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.
Richard Christopher Westlake, who also goes by Chris Westlake, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 5 firms and has passed the Series 63 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
June 1, 1992 - February 24, 1993
MASTERS FINANCIAL GROUP, INC.
January 13, 1992 - April 11, 1992
MASTERS FINANCIAL GROUP, INC.
April 25, 1991 - November 12, 1991
CHATFIELD DEAN & CO., INC.
March 6, 1990 - June 22, 1990
HORIZONS INTERNATIONAL CORPORATION
October 9, 1989 - February 6, 1990
PACIFIC SOUTHERN SECURITIES, INC.
May 22, 1986 - October 4, 1989
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MASTERS FINANCIAL GROUP, INC.
CRD#: 25747 / SEC#: , 8-42553
Contact information
Documents
Red Flags
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