Christopher M. Westfall
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.
Christopher Mark Westfall, who also goes by Chris Westfall, Christopher Westfall, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1996. Christopher had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2012 - May 20, 2014
TRANSWESTERN CAPITAL MARKETS, LLC
February 3, 2012 - February 20, 2020
CREO GLOBAL CAPITAL LLC
June 16, 2005 - April 7, 2011
FIRST CITIZENS CAPITAL SECURITIES, LLC
August 15, 2001 - May 12, 2005
DELOITTE CORPORATE FINANCE LLC
November 21, 1996 - March 17, 1998
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
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
TRANSWESTERN CAPITAL MARKETS, LLC
CRD#: 149210 / SEC#: , 8-68124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEKONING, KENDRIK JON JR | CHIEF COMPLIANCE OFFICER, CEO | 2415073 |
Red Flags
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