Jerry L. Westling
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.
Jerry Lee Westling was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1973. Jerry had worked at 15 firms and has passed the Series 63, SIE, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2018 - May 2, 2018
CAPE SECURITIES INC.
April 30, 2015 - November 28, 2016
CAPE SECURITIES INC.
March 8, 2012 - April 9, 2015
DEMPSEY LORD SMITH, LLC
February 9, 2002 - March 2, 2012
PARKLAND SECURITIES, LLC
April 28, 1997 - February 9, 2002
WALNUT STREET SECURITIES, INC.
August 10, 1992 - May 7, 1997
VOYA FINANCIAL ADVISORS, INC.
March 6, 1991 - August 26, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 6, 1991 - August 26, 1992
PRUCO SECURITIES, LLC.
January 4, 1989 - February 22, 1991
COLLIERS SECURITIES LLC
October 3, 1988 - January 9, 1989
SECURITIES RESOLUTION CORPORATION
July 7, 1987 - October 7, 1988
COLLIERS SECURITIES LLC
December 17, 1984 - July 9, 1987
CRAIG-HALLUM, INC.
August 5, 1982 - December 26, 1984
DAIN RAUSCHER INCORPORATED
April 3, 1979 - November 17, 1982
MORGAN STANLEY DW INC.
September 26, 1978 - March 12, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
November 13, 1973 - July 24, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 11/8/1973
Registered Representative ExaminationCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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