Curt E. Westphal
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.
Curt Edward Westphal was a registered financial professional .
Curt is a previously registered financial professional and started their career in finance in 1991. Curt had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2009 - December 10, 2015
AMERICAN FUNDS & TRUSTS INCORPORATED
July 12, 1999 - December 31, 2008
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 26, 1998 - July 2, 1999
LOCUST STREET SECURITIES, INC.
December 2, 1991 - January 7, 1998
METROPOLITAN LIFE INSURANCE COMPANY
December 2, 1991 - January 7, 1998
MSI FINANCIAL SERVICES, INC.
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
AMERICAN FUNDS & TRUSTS INCORPORATED
CRD#: 1066 / SEC#: , 8-6939
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 1 |
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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