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DW

David Westbrook

ROBERTSON STEPHENS CAPITAL MARKETS
SAN FRANCISCO, CA 94105-2444
Some features on this profile are disabled
CRD#: 5502571
DW

Professional summary

David Westbrook is a registered financial professional currently at ROBERTSON STEPHENS CAPITAL MARKETS, LLC located in San Francisco, California.

David is registered as a RR (Registered Representative) and started their career in finance in 2019. David has worked at 1 firm and has passed the Series 28 exam.

top-8-questions

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 David Westbrook'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

July 17, 2019 - Present

ROBERTSON STEPHENS CAPITAL MARKETS, LLC

Office #1: 455 Market Street Ste. 1450, San Francisco, CA 94105-2444Office #2: 455 Market Street Ste. 1450, San Francisco, CA 94105-2442
BD
CRD#: 290635
SAN FRANCISCO, CA

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

Principal/Supervisory Exam
RR
Series 28
Date: 6/4/2019
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
ROBERTSON STEPHENS CAPITAL MARKETS, LLC
ROBERTSON STEPHENS CAPITAL MARKETS, LLC | RSCM, LLC

CRD#: 290635 / SEC#: , 8-70034

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

Main Address
455 Market Street Ste. 1450, San Francisco, CA 94105-2442
Mailing Address
455 Market Street Ste. 1450, San Francisco, CA 94105-2442
Phone number
(415) 500-6810
Established
Delaware since 08/31/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROBERTSON STEPHENS HOLDINGS, LLCMANAGING MEMBER
CURLEY, MICHAEL JAMESCHIEF COMPLIANCE OFFICER2197705
MURRAY, JOHN GEORGEPRESIDENT1236207
WESTBROOK, DAVIDCHIEF FINANCIAL OFFICER5502571
YATES, EUGENE ALANFINOP2851324

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

ROBERTSON STEPHENS CAPITAL MARKETS, LLC

CRD#: 290635San Francisco, CA 94105-2444

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