Arnold S. Westphal
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.
Arnold Scott Westphal, CFP® was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 2012. Arnold had worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2017 - November 29, 2023
MCFARLAND ASSOCIATES
October 29, 2012 - March 8, 2017
NPB FINANCIAL GROUP, LLC
June 8, 2012 - March 8, 2017
NPB FINANCIAL GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
MCFARLAND ASSOCIATES
CRD#: 111316 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 157 |
| AUM (Assets Under Management) | $ 83,135,255 |
Red Flags
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