Pat Westmoreland
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.
Pat Westmoreland JR was a registered financial advisor .
Pat is a previously registered financial advisor and started their career in finance in 1970. Pat had worked at 7 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2006 - September 3, 2011
INDEPENDENT FINANCIAL MARKETING, INC.
December 17, 1996 - March 14, 2003
BROCKETT TAMNY & CO. INCORPORATED
March 4, 1988 - December 3, 1993
NOMURA SECURITIES INTERNATIONAL, INC.
March 8, 1984 - January 30, 1987
UBS FINANCIAL SERVICES INC.
December 12, 1979 - March 19, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 26, 1976 - December 30, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 9, 1970 - February 14, 1976
ROBERT C BROWN & CO INC
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 1
Date: 8/19/1966
Registered Representative ExaminationSeries 00
Date: 8/21/1975
General Securities Principal ExaminationCurrent firm
No current employment
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.
