Dax K. Westlund
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.
Dax K Westlund, who also goes by Dax Kirk Westlund, Dax Westlund, was a registered financial professional .
Dax is a previously registered financial professional and started their career in finance in 2006. Dax had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2023 - June 4, 2025
MORGAN STANLEY
January 23, 2023 - June 4, 2025
MORGAN STANLEY
September 16, 2022 - September 5, 2023
HARRISDIRECT LLC
September 16, 2022 - September 5, 2023
E*TRADE SECURITIES LLC
January 6, 2022 - August 25, 2022
EMPOWER ADVISORY GROUP, LLC
January 5, 2022 - August 25, 2022
EMPOWER FINANCIAL SERVICES, INC.
June 14, 2021 - December 23, 2021
WELLS FARGO CLEARING SERVICES, LLC
June 14, 2021 - December 23, 2021
WELLS FARGO CLEARING SERVICES, LLC
July 17, 2019 - November 30, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 15, 2019 - November 27, 2020
FIDELITY BROKERAGE SERVICES LLC
April 16, 2018 - October 25, 2018
EDWARD JONES
April 16, 2018 - October 25, 2018
EDWARD JONES
January 15, 2015 - February 21, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 15, 2015 - February 21, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 15, 2013 - January 27, 2015
MORGAN STANLEY
January 14, 2013 - January 27, 2015
MORGAN STANLEY
July 12, 2011 - December 14, 2012
HARRISDIRECT LLC
January 7, 2011 - December 14, 2012
E*TRADE SECURITIES LLC
May 5, 2010 - October 26, 2010
CHASE INVESTMENT SERVICES CORP.
October 11, 2007 - October 6, 2009
CHASE INVESTMENT SERVICES CORP.
February 27, 2006 - October 5, 2007
ALLSTATE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
