Rodney S. Westlake

WITTER & WESTLAKE INVESTMENTS

Eagle Harbor, MI

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CRD#: 4933339

Professional summary

Rodney Scott Westlake is a registered financial advisor currently at WITTER & WESTLAKE INVESTMENTS located in Eagle Harbor, Michigan.

Rodney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Rodney has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Rodney Scott Westlake's CRS (Customer Relationship Summary).

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

Current

August 18, 2008 - Present

WITTER & WESTLAKE INVESTMENTS

RIA

CRD#: 134774

Eagle Harbor, MI

Past

May 18, 2005 - August 18, 2008

WITTER & WESTLAKE INVESTMENTS

RIA

CRD#: 134774

LOUISVILLE, KY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(8/5/2021)

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

IAR

Series 65

Date: 2/2/2005

Uniform Investment Adviser Law Examination

Current Firm

WITTER & WESTLAKE INVESTMENTS

WITTER & WESTLAKE INVESTMENTS | WITTER & WESTLAKE INVESTMENTS, INC.

CRD#: 134774 / SEC#: 801-67347

RIA

Registered Investment Advisory firm - (6/10/2009 Terminated)

Alabama

Registered Investment Advisory firm - (1/9/2007 Terminated)

Kentucky

Registered Investment Advisory firm - (9/13/2021 Terminated)

Michigan

Registered Investment Advisory firm - (7/26/2021 Approved)

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).

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Contact information

Main Address

Eagle Harbor, MI

Mailing Address

Phone number

(502) 339-8840

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 11,610,000

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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Rodney S. Westlake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Scott Westlake's CRS (Customer Relationship Summary).

Certified licenses

Experience

WITTER & WESTLAKE INVESTMENTS

WITTER & WESTLAKE INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/2005

Current Firm

WITTER & WESTLAKE INVESTMENTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WITTER & WESTLAKE INVESTMENTS

TRUST BUT VERIFY

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