Adam Westphalen

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CRD#: 2821723

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.

Adam Westphalen was a registered financial advisor .

Adam is a previously registered financial advisor and started their career in finance in 1996. Adam had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 9, 2012 - December 31, 2012

VISTA INVESTMENT ADVISORS LLC

RIA

CRD#: 125777

WESTPORT, CT

Past

April 28, 2009 - December 31, 2014

MOSAIC PORTFOLIO STRATEGISTS LLC

RIA

CRD#: 149364

WESTPORT, CT

Past

April 12, 2004 - June 25, 2007

ASSETMARK, INC.

RIA

CRD#: 109018

CHICAGO, IL

Past

July 9, 2001 - June 25, 2007

ASSETMARK CAPITAL CORPORATION

CRD#: 37583

PLEASANT HILL, CA

Past

December 13, 2000 - June 29, 2001

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

August 16, 2000 - August 16, 2000

ASSETMARK, INC.

RIA

CRD#: 109018

CHICAGO, IL

Past

August 16, 2000 - April 12, 2004

VISTA INVESTMENT ADVISORS LLC

RIA

CRD#: 125777

STRATFORD, CT

Past

July 8, 2000 - December 7, 2000

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

February 19, 1999 - July 8, 2000

POLARIS FINANCIAL SERVICES, INC.

CRD#: 14521

CONCORD, NH

Past

January 20, 1998 - December 31, 1998

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

December 4, 1997 - January 20, 1998

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

September 25, 1997 - February 6, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 1, 1997 - October 1, 1997

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

November 6, 1996 - December 3, 1996

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/16/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/6/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/5/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 12/12/2011

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 4/1/1998

General Securities Principal Examination

Current Firm

VISTA INVESTMENT ADVISORS LLC

THE VISTA COMPANIES | VISTA INVESTMENT ADVISORS LLC

CRD#: 125777 / SEC#:

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Contact information

Main Address

191 Post Road West, Westport, CT 06880

Mailing Address

Phone number

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Adam Westphalen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MOSAIC PORTFOLIO STRATEGISTS LLC

ASSETMARK, INC.

ASSETMARK CAPITAL CORPORATION

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

ASSETMARK, INC.

VISTA INVESTMENT ADVISORS LLC

OSAIC FS, INC.

POLARIS FINANCIAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

GUARDIAN INVESTOR SERVICES LLC

MML INVESTORS SERVICES, LLC

GUARDIAN INVESTOR SERVICES LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/1998

Series 63

Date: 11/12/1996

Series 3

Date: 2/6/2010

Series 7

Date: 11/5/1996

Series 30

Date: 12/12/2011

Series 24

Date: 4/1/1998

Current Firm

VISTA INVESTMENT ADVISORS LLC

Contact information

Documents

Red Flags

Company Information

VISTA INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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