John A. Westbrook
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.
John Albert Westbrook, who also goes by Al Westbrook, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2020 - June 9, 2020
CAPE SECURITIES INC.
March 5, 2015 - August 2, 2018
CENTER STREET ADVISORS, INC.
September 4, 2014 - February 10, 2020
CENTER STREET SECURITIES, INC.
March 15, 2013 - November 27, 2013
ONEAMERICA SECURITIES, INC.
March 15, 2013 - November 27, 2013
ONEAMERICA SECURITIES, INC.
June 3, 2011 - June 8, 2012
GRADIENT ADVISORS, LLC
June 3, 2011 - June 8, 2012
GRADIENT SECURITIES, LLC
September 24, 2010 - June 2, 2011
CAPITAL FINANCIAL SERVICES, INC.
September 24, 2010 - June 2, 2011
CAPITAL FINANCIAL SERVICES, INC.
April 30, 2010 - September 22, 2010
SIGNATOR INVESTORS, INC.
November 6, 2009 - September 22, 2010
SIGNATOR INVESTORS, INC.
February 14, 2008 - December 1, 2009
NEXT FINANCIAL GROUP, INC.
February 14, 2008 - December 1, 2009
NEXT FINANCIAL GROUP, INC.
January 26, 2006 - February 15, 2008
CAPITAL FINANCIAL SERVICES, INC.
January 24, 2006 - February 15, 2008
CAPITAL FINANCIAL SERVICES, INC.
August 26, 2004 - January 26, 2006
FSC SECURITIES CORPORATION
August 26, 2004 - January 26, 2006
FSC SECURITIES CORPORATION
October 3, 2001 - August 12, 2004
VALIC FINANCIAL ADVISORS, INC.
February 15, 1998 - August 12, 2004
VALIC FINANCIAL ADVISORS, INC.
July 8, 1988 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
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
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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