Neil J. Westerman

SUMMIT WEALTH MANAGEMENT GROUP

Camarillo, CA 93012

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CRD#: 5037394

Professional summary

Neil James Westerman is a registered financial advisor currently at SUMMIT WEALTH MANAGEMENT GROUP, INC. located in Camarillo, California and LPL FINANCIAL LLC located in Camarillo, California.

Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Neil has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

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.

1-04/2024 / SUMMIT Wealth Management Group, Inc. / DBA for LPL Business (entity for LPL business) / Investment Related / 173.3 hrs mnth / 22.5 hrs during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil James Westerman's CRS (Customer Relationship Summary).

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

May 17, 2024 - Present

SUMMIT WEALTH MANAGEMENT GROUP, INC.

Office #1: 400 Camarillo Ranch Road Suite 202, Camarillo, CA 93012

RIA

CRD#: 170029

Camarillo, CA

Current

April 30, 2024 - Present

LPL FINANCIAL LLC

Office #1: 400 Camarillo Ranch Rd #202, Camarillo, CA 93012

RIA

CRD#: 6413

CAMARILLO, CA

Past

August 15, 2016 - February 16, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CAMARILLO, CA

Past

August 15, 2016 - February 16, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CAMARILLO, CA

Past

September 5, 2013 - August 2, 2016

OSAIC FA, INC.

CRD#: 3978

WESTLAKE VILLAGE, CA

Past

September 4, 2013 - August 2, 2016

OSAIC FA, INC.

RIA

CRD#: 3978

WESTLAKE VILLAGE, CA

Past

August 17, 2006 - April 3, 2012

OSAIC FA, INC.

RIA

CRD#: 3978

OXNARD, CA

Past

January 27, 2006 - May 23, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

January 27, 2006 - April 3, 2012

OSAIC FA, INC.

CRD#: 3978

OXNARD, CA

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".

SUMMIT WEALTH MANAGEMENT GROUP, INC.

CRD#: 170029 / SEC#: 801-110950

RIA

Registered Investment Advisory firm - (8/4/2017 Approved)

California

Registered Investment Advisory firm - (1/12/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/13/2017 Terminated)

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.

IAR

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(4/30/2024)

IAR

California
(5/17/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/16/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/26/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SUMMIT WEALTH MANAGEMENT GROUP, INC.

CRD#: 170029 / SEC#: 801-110950

RIA

Registered Investment Advisory firm - (8/4/2017 Approved)

California

Registered Investment Advisory firm - (1/12/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/13/2017 Terminated)

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Contact information

Main Address

400 Camarillo Ranch Road Suite 202, Camarillo, CA 93012

Mailing Address

Phone number

(805) 384-1186

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (8/5/2025)

FORM ADV PART 2A APPENDIX 1 - WRAP BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	632
AUM (Assets Under Management)	$ 226,022,233

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

Neil J. Westerman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil James Westerman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

OSAIC FA, INC.

OSAIC FA, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

SUMMIT WEALTH MANAGEMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/16/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/26/2006

FINRA

Current Firm

SUMMIT WEALTH MANAGEMENT GROUP, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT WEALTH MANAGEMENT GROUP, INC.

TRUST BUT VERIFY

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