Jerry D. Killion

FIRST WESTERN SECURITIES

Lubbock, TX 79423

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CRD#: 1619315

Professional summary

Jerry Dean Killion, who also goes by Jerry D Killion, is a registered financial advisor currently at FIRST WESTERN SECURITIES, INC. located in Lubbock, Texas.

Jerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Jerry has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jerry D Killion

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

INDEPENDENT INSURANCE AGENT for EMPLOYEE BENEFITS ASSOCIATES. APPROX 100 HRS/MO, DURING TRADING HOURS - NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry Dean Killion's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jerry Dean Killion's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 19, 2010 - Present

FIRST WESTERN SECURITIES, INC.

Office #1: 2817 74th, Lubbock, TX 79423Office #2: 2817 74th, Lubbock, TX 79423

RIA

CRD#: 19537

Lubbock, TX

Current

July 19, 2010 - Present

FIRST WESTERN SECURITIES, INC.

Office #1: 2817 74th, Lubbock, TX 79423

RIA

CRD#: 19537

Lubbock, TX

Past

January 17, 2008 - May 5, 2010

OSAIC FS, INC.

CRD#: 3870

LUBBOCK, TX

Past

January 14, 2008 - November 22, 2010

F & S ASSET MANAGEMENT GROUP, INC.

RIA

CRD#: 145695

LUBBOCK, TX

Past

March 8, 2004 - December 21, 2007

CINCINNATI ANALYSTS, INC.

RIA

CRD#: 5478

LUBBOCK, TX

Past

January 20, 2004 - December 21, 2007

CINCINNATI ANALYSTS, INC.

CRD#: 5478

LUBBOCK, TX

Past

May 3, 2001 - January 8, 2004

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LUBBOCK, TX

Past

May 3, 2001 - January 8, 2004

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 20, 1992 - May 3, 2001

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

March 5, 1987 - October 16, 1992

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Oklahoma
(7/27/2010)

Texas
(7/26/2010)

IAR

Texas
(10/19/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/10/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/14/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/19/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST WESTERN SECURITIES, INC.

FIRST WESTERN SECURITIES | FIRST WESTERN SECURITIES, INC.

CRD#: 19537 / SEC#: 801-70430, 8-37613

RIA

Registered Investment Advisory firm - SEC (6/18/2012 Terminated)

Arizona

Registered Investment Advisory firm - SEC (11/15/2013 Approved)

California

Registered Investment Advisory firm - SEC (4/4/2012 Approved)

Georgia

Registered Investment Advisory firm - SEC (9/18/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (10/3/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/30/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

669 Airport Freeway #409 Suite 409, Hurst, TX 76053

Mailing Address

669 Airport Freeway #409, Hurst, TX 76053

Phone number

(817) 553-1492

Established

Texas since 03/27/1987

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
FIRST WESTERN SECURITIES VOTING TRUST	VOTING TRUST
FERGUSON, RANDAL EARL	PRESIDENT/CHIEF COMPLIANCE OFFICER	859884
KILPATRICK, BRYAN CRAIG	CFO/FOP	1278558

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 41,715,412

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Jerry D. Killion

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerry Dean Killion's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jerry Dean Killion's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST WESTERN SECURITIES, INC.

OSAIC FS, INC.

F & S ASSET MANAGEMENT GROUP, INC.

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

WOODBURY FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/2000

Series 63

Date: 4/14/1987

SIE

Date: 10/1/2018

Series 6

Date: 1/19/1987

FINRA

Current Firm

FIRST WESTERN SECURITIES, INC.

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FIRST WESTERN SECURITIES, INC.

TRUST BUT VERIFY

Contact information

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