James B. Westwood

ROYAL OAK FINANCIAL ADVISORS

Royal Oak, MI 48067

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CRD#: 2241415

Professional summary

James Brendahl Westwood is a registered financial advisor currently at ROYAL OAK FINANCIAL ADVISORS, LLC located in Royal Oak, Michigan and ALPHA ASSET ADVISORS LLC located in Royal Oak, Michigan.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 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) ALPHA ASSET ADVISORS; 32121 WOODWARD OAK, MI 48073; DBA-FOR SECURITIES AND INSURANCE BUSINESS; PARTNER/OWNER; INVESTMENT RELATED; START 5/27/11; 10 HRS/MO, 10 HRS DURING TRADING. (2) ROYAL OAK FINANCIAL ADVISORS, LLC; INVESTMENT RELATED; 1709 CROOKS ROAD, ROYAL OAK, MI 48067; PRINCIPAL/IAR; START DATE: 05/2011; SPENDS 50% OF HIS TIME. (3) TRUSTEE OF SKALA IRREVOCABLE LIFE INSURANCE TRUST. NON-INVESTMENT RELATED; SPENDS LESS THAN 1% OF HIS TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Brendahl Westwood'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

March 28, 2018 - Present

ROYAL OAK FINANCIAL ADVISORS, LLC

Office #1: 1709 Crooks Road, Royal Oak, MI 48067

RIA

CRD#: 290152

Royal Oak, MI

Current

January 11, 2019 - Present

ALPHA ASSET ADVISORS LLC

Office #1: 306 South Washington Ave. Suite 228, Royal Oak, MI 48067

RIA

CRD#: 295093

Royal Oak, MI

Past

November 7, 2018 - December 31, 2018

ALPHA ASSET ADVISORS LLC

RIA

CRD#: 295093

ROYAL OAK, MI

Past

July 17, 2015 - October 31, 2016

WFG INVESTMENTS, INC.

CRD#: 22704

Royal Oak, MI

Past

June 1, 2011 - March 8, 2018

CG ADVISORY SERVICES

RIA

CRD#: 110929

ROYAL OAK, MI

Past

May 27, 2011 - July 20, 2015

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

ROYAL OAK, MI

Past

May 27, 2011 - July 20, 2015

INVEST FINANCIAL CORPORATION

CRD#: 12984

ROYAL OAK, MI

Past

April 24, 2006 - June 1, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NORTHVILLE, MI

Past

July 1, 2003 - June 1, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NORTHVILLE, MI

Past

July 18, 1995 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 10, 1992 - July 25, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROYAL OAK FINANCIAL ADVISORS, LLC

CRD#: 290152 / SEC#: 801-114096

RIA

Registered Investment Advisory firm - (10/5/2018 Approved)

Michigan

Registered Investment Advisory firm - (10/11/2018 Terminated)

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).

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

Michigan
(3/28/2018)

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: 1/10/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/1992

General Securities Representative Examination

Current Firm

ROYAL OAK FINANCIAL ADVISORS, LLC

CRD#: 290152 / SEC#: 801-114096

RIA

Registered Investment Advisory firm - (10/5/2018 Approved)

Michigan

Registered Investment Advisory firm - (10/11/2018 Terminated)

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Contact information

Main Address

1709 Crooks Road, Royal Oak, MI 48067

Mailing Address

Phone number

(248) 709-6134

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE - ADV PART 2A (5/9/2025)

Regulatory assets under management

Total Number of Accounts	1,426
AUM (Assets Under Management)	$ 309,238,870

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.

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Advisor Monitoring

Firm Stability Insights

James B. Westwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Brendahl Westwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA ASSET ADVISORS LLC

ALPHA ASSET ADVISORS LLC

WFG INVESTMENTS, INC.

CG ADVISORY SERVICES

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ROYAL OAK FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/1994

Series 63

Date: 7/27/1992

SIE

Date: 10/31/2016

Series 7

Date: 7/8/1992

Current Firm

ROYAL OAK FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROYAL OAK FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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