VW
Vincent E. Westerman
THE WESTERMAN GROUP
Sagamore Hills, OH 44067
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CRD#: 1736864
VW
Professional summary
Vincent Edward Westerman is a registered financial advisor currently at THE WESTERMAN GROUP, LLC located in Sagamore Hills, Ohio.
Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Vincent has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. NAME OF BUSINESS:THE WESTERMAN GROUP, 114 E. AURORA ROAD, #100, SAGAMORE HILLS OH 44067, 330-467-3111. EMAIL: VINCE@THEWESTERMANGROUP.COM. THIS IS A SOLE PROPRIETORSHIP. NATURE OF BUSINESS: PLACEMENT AND SERVICE OF LIFE INSURANCE. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE: SOLE PROPRIETOR - BROKER - AGENT. DUTIES:MANAGE CLIENT WORK. APPROX # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:2. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:0. DATE STARTED:OCTOBER 1997. FINANCIAL INTEREST IN THIS BUSINESS:YES, SOLE PROPRIETOR. HOW COMPENSATED: COMMISSIONS/RENEWALS. 2. NAME OF BUSINESS: ASH BROKERAGE CORP, 888 S. Harrison St. Ste. 900, FT WAYNE, IN, 46802, 800-589-3000. EMAIL:VINCE@THEWESTERMANGROUP.COM. THIS BUSINESS IS A CORPORATION. NATURE OF BUSINESS: INSURANCE BROKERAGE. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE: BROKER/ADVISOR. DUTIES:PLACEMENT OF INSURANCE,CLIENT WORK. APPROX # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:20. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:VARIES/13. DATE STARTED:11/2007. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:COMMISSIONS/RENEWALS. 3. NAME OF BUSINESS: TWG RISK LIMITED, LLC, 114 EAST AURORA RD SUITE 100 SAGAMORE HILLS OH 44067 330-467-3111; NOT INVESTMENT RELATED; SOLE MANAGING MEMBER; DUTIES-THE MARKETING, DESIGN, PLACEMENT, AND SERVICING OF INSURANCE PLANS FOR INDIVIDUALS AND BUSINESSES; START DATE 04/15/2020; FINANCIAL INTEREST IN BUSINESS-YES AS SOLE MEMBER OF LLC; COMPENSATION IS COMMISSIONS. HOURS ARE MONDAY-FRIDAY 8AM-5PM AND BY APPOINTMENTS AS NEEDED. 4. NAME OF BUSINESS: IMIF, LLC; 114 EAST AURORA RD SUITE 100 SAGAMORE HILLS OH 44067 330-467-3111; NOT INVESTMENT RELATED; PARTNER IN LLC FOR THE PLACEMENT OF SIMPLIFIED ISSUE LIFE INSURANCE; DUTIES-BUSINESS ADMINISTRATIVE AND LICENSED INSURANCE AGENT; START DATE 06/02/2020; FINANCIAL INTEREST IN BUSINESS-YES 33% OWNER OF LLC; COMPENSATION IS COMMISSIONS. HOURS VARY DEPENDING ON WORK TO BE PERFORMED.
CRS (Client Relationship Summary) - RIA
Click below to view Vincent Edward Westerman's 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®
NoneExperience
Current
July 11, 2005 - Present
THE WESTERMAN GROUP, LLC
Office #1: 114 East Aurora Road Suite 100, Sagamore Hills, OH 44067RIA
CRD#: 135525
Sagamore Hills, OH
Past
August 6, 2013 - June 9, 2020
MERCAP SECURITIES, LLC
BD
CRD#: 156607
FORT WAYNE, IN
Past
April 3, 2009 - August 5, 2013
SILVER OAK SECURITIES, INCORPORATED
BD
CRD#: 46947
SAGAMORE HILLS, OH
Past
June 10, 2005 - March 30, 2009
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
SAGAMORE HILLS, OH
Past
August 20, 2002 - June 14, 2005
OSAIC FA, INC.
RIA
CRD#: 3978
CLEVELAND, OH
Past
August 7, 2002 - June 14, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
August 7, 2002 - June 14, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
January 17, 1996 - August 14, 2002
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
September 9, 1991 - December 6, 1995
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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.Highlighted states indicate IAR registrations
IAR
California(6/9/2020)
IAR
Florida(10/1/2022)
IAR
Ohio(7/11/2005)
IAR
Texas(9/17/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TW
THE WESTERMAN GROUP, LLC
THE WESTERMAN GROUP, LLC
CRD#: 135525 / SEC#:
California
Registered Investment Advisory firm - (6/8/2020 Approved)Connecticut
Registered Investment Advisory firm - (11/22/2011 Terminated)Florida
Registered Investment Advisory firm - (10/1/2022 Approved)Ohio
Registered Investment Advisory firm - (7/7/2005 Approved)Texas
Registered Investment Advisory firm - (9/17/2019 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
114 East Aurora Road Suite 100, Sagamore Hills, OH 44067
Mailing Address
Phone number
(330) 467-3111
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 536 |
| AUM (Assets Under Management) | $ 83,351,948 |
Red Flags
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