AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SW

Stephen R. Westwood

FSAQ CAPITAL MANAGEMENT
San Diego, CA
Some features on this profile are disabled
CRD#: 2951704
SW

Professional summary

Stephen Robert Westwood is a registered financial advisor currently at FSAQ CAPITAL MANAGEMENT LLC located in San Diego, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Stephen has worked at 4 firms and has passed the Series 65, Series 63, Series 31 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Robert Westwood'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

June 5, 2020 - Present

FSAQ CAPITAL MANAGEMENT LLC

RIA
CRD#: 307761
San Diego, CA
Past

October 31, 2024 - March 30, 2026

PACIFIC SPIRIT INVESTMENTS LP

RIA
CRD#: 331583
LA JOLLA, CA
Past

February 13, 2014 - December 31, 2016

FSAQ, LLC

RIA
CRD#: 169262
LA JOLLA, CA
Past

August 24, 1998 - November 14, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
LA MESA, CA
Past

October 23, 1997 - November 14, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
California
(6/5/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/12/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/28/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 11/18/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/22/1997
General Securities Representative Examination

Current Firm

FC
FSAQ CAPITAL MANAGEMENT LLC
FSAQ CAPITAL MANAGEMENT LLC

CRD#: 307761 / SEC#:

California
Registered Investment Advisory firm - (6/5/2020 Approved)
Loading...

Contact information

Main Address
San Diego, CA
Mailing Address
Phone number
(858) 752-9930
Established
Firm type
Fiscal year end
# of Employees
1

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.

Company Information

FSAQ CAPITAL MANAGEMENT LLC

CRD#: 307761San Diego, CA

TRUST BUT VERIFY

Monitor Stephen Westwood

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.