James H. Westbrooks
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.
James Hampton Westbrooks, who also goes by James Westbrooks, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 1 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
October 18, 2018 - December 31, 2021
KESTRA ADVISORY SERVICES, LLC
October 18, 2018 - December 31, 2021
KESTRA INVESTMENT SERVICES, LLC
September 3, 2013 - October 19, 2018
CETERA WEALTH SERVICES, LLC
September 3, 2013 - October 19, 2018
CETERA WEALTH SERVICES, LLC
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
March 31, 1993 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
March 30, 1993 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
August 25, 1970 - October 14, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 8/19/1970
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
