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RW

Randall J. Westman

TRIUMPH CAPITAL MARKETS
CHICAGO, IL 60606
CRD#: 5279503
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RW
Randall James WestmanTRIUMPH CAPITAL MARKETS

Professional summary

Randall James Westman is a registered financial professional currently at TRIUMPH CAPITAL MARKETS, LLC located in Chicago, Illinois.

Randall is registered as a RR (Registered Representative) and started their career in finance in 2007. Randall has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Randall James Westman'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

June 5, 2026 - Present

TRIUMPH CAPITAL MARKETS, LLC

Office #1: 150 North Riverside Plaza, Suite 5200, Chicago, IL 60606
BD
CRD#: 327963
CHICAGO, IL
Past

November 10, 2015 - November 18, 2025

CAPITAL ONE SECURITIES, INC.

BD
CRD#: 44158
Chicago, IL
Past

October 1, 2008 - October 9, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

August 18, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
CHICAGO, IL
Past

March 16, 2007 - January 25, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
CHICAGO, IL

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(6/5/2026)
RR
Massachusetts
(6/5/2026)
RR
New York
(6/5/2026)
RR
North Carolina
(6/5/2026)
RR
Ohio
(6/7/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/30/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/18/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRIUMPH CAPITAL MARKETS, LLC
TRIUMPH CAPITAL MARKETS | TRIUMPH CAPITAL MARKETS, LLC

CRD#: 327963 / SEC#: , 8-71147

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
150 North Riverside Plaza Suite 5200, Chicago, IL 60606
Mailing Address
150 North Riverside Plaza Suite 5200, Chicago, IL 60606
Phone number
(312) 705-2788
Established
Delaware since 05/08/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRIUMPH CAPITAL MARKETS HOLDCO, LPSOLE MEMBER
COSIO, ROMMEL GOMEZCHIEF COMPLIANCE OFFICER2017788
GIBBONS, KEVIN PATRICKCHIEF EXECUTIVE OFFICER2382418
PORTNOFF, DAVID ROSSFINOP, PFO, POO2977967

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

TRIUMPH CAPITAL MARKETS, LLC

CRD#: 327963Chicago, IL 60606

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