Peter W. Westerfield

WESTERFIELD INVESTMENT MANAGEMENT

Boca Raton, FL

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CRD#: 2160467

Professional summary

Peter William Westerfield is a registered financial advisor currently at WESTERFIELD INVESTMENT MANAGEMENT located in Boca Raton, Florida.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Peter has worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 4 and Series 24 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.

US REMODELERS,NON INVESTMENT RELATED,1001 YAMATO ROAD,REMODELING,SALES SUPPORT,3/1/13,144 HOURS/MONTH NIGHTS AND WEEKENDS,2 HOURS WEEK DURING TRADING HOURS,SALES SUPPORT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter William Westerfield'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®

None

Experience

Current

November 13, 2014 - Present

WESTERFIELD INVESTMENT MANAGEMENT

RIA

CRD#: 171248

Boca Raton, FL

Past

October 8, 2012 - January 4, 2013

HB SECURITIES, LLC

CRD#: 140356

CORAL SPRINGS, FL

Past

February 8, 2011 - July 21, 2011

REVERE SECURITIES LLC

CRD#: 14178

BOCA RATON, FL

Past

November 14, 2001 - February 12, 2009

SECURITIES RESEARCH, INC. OF FLORIDA

CRD#: 6516

TAMARAC, FL

Past

August 14, 2000 - November 12, 2001

LIVINGSTON MONROE CAPITAL GROUP INC.

CRD#: 31228

BOCA RATON, FL

Past

July 15, 1998 - August 7, 2000

FLORIDA DISCOUNT SECURITIES, INC.

CRD#: 44859

BOCA RATON, FL

Past

December 7, 1995 - July 7, 1998

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

March 2, 1992 - November 30, 1995

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

December 24, 1991 - February 10, 1992

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

August 19, 1991 - December 23, 1991

BILTMORE SECURITIES, INC.

CRD#: 25023

FT. LAUDERDALE, FL

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

Florida
(11/13/2014)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/17/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/6/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/24/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/1998

General Securities Principal Examination

Current Firm

WESTERFIELD INVESTMENT MANAGEMENT

WESTERFIELD INVESTMENT MANAGEMENT | WESTERFIELD, PETER

CRD#: 171248 / SEC#:

Florida

Registered Investment Advisory firm - (11/13/2014 Approved)

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Contact information

Main Address

Boca Raton, FL

Mailing Address

Phone number

(561) 866-7569

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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

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Peter W. Westerfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter William Westerfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

HB SECURITIES, LLC

REVERE SECURITIES LLC

SECURITIES RESEARCH, INC. OF FLORIDA

LIVINGSTON MONROE CAPITAL GROUP INC.

FLORIDA DISCOUNT SECURITIES, INC.

QUICK & REILLY, INC.

TD AMERITRADE, INC.

CHATFIELD DEAN & CO., INC.

BILTMORE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/17/2014

Series 63

Date: 8/26/1991

Series 7

Date: 8/6/1991

Series 4

Date: 5/24/1999

Series 24

Date: 12/16/1998

Current Firm

WESTERFIELD INVESTMENT MANAGEMENT

Contact information

Documents

Red Flags

Company Information

WESTERFIELD INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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