Paul T. Westervelt

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CRD#: 464056

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.

Paul Taulman Westervelt JR, who also goes by Westy Westervelt, was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1970. Paul had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1, Series 24 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Westy Westervelt

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

January 2, 2018 - December 31, 2024

COKER & PALMER

CRD#: 29163

New Orleans, LA

Past

October 6, 2011 - December 8, 2017

IBERIA CAPITAL PARTNERS L.L.C.

CRD#: 152766

NEW ORLEANS, LA

Past

December 1, 2009 - October 24, 2011

MADISON WILLIAMS AND COMPANY

CRD#: 149530

METAIRIE, LA

Past

October 13, 2008 - December 16, 2009

SANDERS MORRIS LLC

CRD#: 20580

METAIRIE, LA

Past

August 25, 2005 - November 3, 2008

COKER & PALMER

CRD#: 29163

METAIRIE, LA

Past

May 2, 2003 - September 12, 2005

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

November 21, 2002 - April 10, 2003

BAYOU SECURITIES, LLC

CRD#: 39323

STAMFORD, CT

Past

September 12, 1989 - November 1, 2002

JOHNSON RICE & COMPANY L.L.C.

CRD#: 19524

NEW ORLEANS, LA

Past

October 20, 1970 - September 18, 1989

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

CRD#: 414

NEW ORLEANS, LA

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".

COKER & PALMER

CRD#: 29163 / SEC#: 801-77645, 8-44129

RIA

Registered Investment Advisory firm - SEC (2/25/2013 Approved)

Alabama

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/14/2014 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (11/8/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 8/21/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 9/7/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 10/10/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 5/12/1973

Registered Principal Examination

Current Firm

COKER & PALMER

CRD#: 29163 / SEC#: 801-77645, 8-44129

RIA

Registered Investment Advisory firm - SEC (2/25/2013 Approved)

Alabama

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/14/2014 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (11/8/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1667 Lelia Drive, Jackson, MS 39216

Mailing Address

1667 Lelia Drive, Jackson, MS 39216

Phone number

(601) 354-0860

Established

Mississippi since 07/08/1991

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (10 States and Territories)

FINRA licenses (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

COKER & PALMER ADV PART 2 2025 (3/11/2025)

Direct owners and executive officers

Name	Position	CRD#
COKER, JAMES DAVID	CHIEF EXECUTIVE OFFICER / CHIEF FINANCIAL OPERATIONS OFFICER / CHIEF LEGAL OFFICER / CCO/PRESIDENT	1238444
GHEE, LORELI ANN	COMPLIANCE OFFICER	1531910

Regulatory assets under management

Total Number of Accounts	428
AUM (Assets Under Management)	$ 244,065,071

Disclosures

Regulatory Event

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

Paul T. Westervelt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IBERIA CAPITAL PARTNERS L.L.C.

MADISON WILLIAMS AND COMPANY

SANDERS MORRIS LLC

COKER & PALMER

STERNE, AGEE & LEACH, INC.

BAYOU SECURITIES, LLC

JOHNSON RICE & COMPANY L.L.C.

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

Primary Firm SEC Registration

COKER & PALMER

State Registrations and Notice Filings

Exams

Series 63

Date: 8/21/1987

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 9/7/1977

Series 1

Date: 10/10/1970

Series 24

Date: 1/2/2023

Series 40

Date: 5/12/1973

Current Firm

COKER & PALMER

Contact information

SEC notice filing (10 States and Territories)

FINRA licenses (32 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

COKER & PALMER

TRUST BUT VERIFY

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