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JW

Jeffery L. Westerman

Some features on this profile are disabled
CRD#: 4765489
JW

Professional summary

Jeffery Luke Westerman was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffery Luke Westerman, who also goes by Luke Westerman, was a registered financial advisor .

Jeffery is a previously registered financial advisor and started their career in finance in 2004. Jeffery had worked at 7 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Luke Westerman

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

August 19, 2009 - November 17, 2009

CAPITAL SOLUTIONS DISTRIBUTORS, LLC

BD
CRD#: 132315
CORTE MADERA, CA
Past

June 23, 2008 - January 7, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
COLUMBUS, OH
Past

June 18, 2008 - January 7, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
COLUMBUS, OH
Past

July 26, 2007 - May 9, 2008

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
GROVEPORT, OH
Past

July 25, 2007 - May 9, 2008

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
GROVEPORT, OH
Past

February 28, 2007 - July 10, 2007

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
COLUMBUS, OH
Past

February 27, 2007 - July 10, 2007

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
COLUMBUS, OH
Past

April 17, 2006 - December 6, 2006

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
DUBLIN, OH
Past

July 6, 2005 - December 6, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
DUBLIN, OH
Past

February 18, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

August 27, 2004 - February 1, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
DUBLIN, OH
Past

August 23, 2004 - February 1, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 23, 2004 - February 1, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/15/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/2004
General Securities Representative Examination

Current Firm

CS
CAPITAL SOLUTIONS DISTRIBUTORS, LLC
CAPITAL SOLUTIONS DISTRIBUTORS, LLC

CRD#: 132315 / SEC#: , 8-66585

BD
Terminated by SEC on 01/16/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 02/02/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL SOLUTIONS MANAGEMENT, LPOWNER
BOZORA, MICHAEL WILLIAMMANAGING DIRECTOR28009
JORAJURIA, MARIEANNEFINOP - CFO4040713
REDPATH, TIMOTHY ROBERTSPRESIDENT, CCO, AML, CEO728164
TRIPP, JASON LYNNREGISTERED PRINCIPAL4656089

Disclosures

Civil Event1

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

CAPITAL SOLUTIONS DISTRIBUTORS, LLC

CRD#: 132315

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