MW
Michael G. Westbrook
Some features on this profile are disabled
CRD#: 5754854
MW
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.
Michael Graham Westbrook, who also goes by Michael G Westbrook, Michael Westbrook, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2010. Michael had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael G Westbrook | Michael Westbrook
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) NAME OF THE OTHER BUSINESS:Booster Club member of Gemecock Club University of SC INVESTMENT- RELATED:No ADDRESS OF THE OTHER BUSINESS:Columbia, SC YOUR POSITION OR TITLE:Member/Donor NATURE OF THE OTHER BUSINESS:Volunteer START DATE:1/1/1999 APPROXIMATE NUMBER OF HOURS/MONTH:0 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:Support the main focus as to providing scholarships for children to attend this school COMPENSATION :No 2) NAME OF THE OTHER BUSINESS:Member of the University of SC Alumni Association INVESTMENT- RELATED:No ADDRESS OF THE OTHER BUSINESS:Columbia, SC YOUR POSITION OR TITLE:Member NATURE OF THE OTHER BUSINESS:Volunteer START DATE:1/1/1999 APPROXIMATE NUMBER OF HOURS/MONTH:0 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:Support the main focus as to providing scholarships for children to attend this school COMPENSATION :No 3)NAME OF THE OTHER BUSINESS:Piedmont Advantage Credit Union INVESTMENT- RELATED:Yes ADDRESS OF THE OTHER BUSINESS:3530 Advantage Way, Winston Salem, NC 27103 YOUR POSITION OR TITLE:Senior Financial Advisor: Director of Financial Wellness NATURE OF THE OTHER BUSINESS:Financial Institution START DATE:6/3/2019 APPROXIMATE NUMBER OF HOURS/MONTH:25 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:40 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:Coaching, counseling, writing business plans, developing skill sets of new and former employees. 3 CU's at work executives reported under him, with the main goal to grow memberships with current SEG;s and to develop new SEG relationships. COMPENSATION :Yes 4) NAME OF THE OTHER BUSINESS:Omega Benefits INVESTMENT- RELATED:No ADDRESS OF THE OTHER BUSINESS:Novi, MI 48377 YOUR POSITION OR TITLE:Omega will pay split commissions to PACU using my NC Health Ins Number NATURE OF THE OTHER BUSINESS:Private Business START DATE:TBD APPROXIMATE NUMBER OF HOURS/MONTH:0 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:No duties COMPENSATION :No
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
March 28, 2016 - December 31, 2023
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Winston-Salem, NC
Past
March 28, 2016 - December 31, 2023
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Winston-Salem, NC
Past
September 25, 2013 - March 22, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
BURLINGTON, NC
Past
September 12, 2013 - March 22, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
BURLINGTON, NC
Past
November 3, 2010 - September 13, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GREENSBORO, NC
Past
October 27, 2010 - September 13, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GREENSBORO, NC
Past
May 10, 2010 - August 9, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GREENSBORO, NC
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".
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
10150 Meanley Drive 1st Floor 1st Floor, San Diego, CA, 92131
Mailing Address
10150 Meanley Drive 1st Floor, San Diego, CA, 92131
Phone number
(858) 530-4400
Established
California since 11/07/1996
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
791
SEC notice filing (53 States and Territories)
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
