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JS

Jamie L. Schlag

WESTWOOD MANAGEMENT
Blaine, MN
CRD#: 6114352
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JS
Jamie Lee SchlagWESTWOOD MANAGEMENT

Professional summary

Jamie Lee Schlag, who also goes by Jamie Lee Broeckel, Jamie Schlag, is a registered financial advisor currently at WESTWOOD MANAGEMENT CORP located in Blaine, Minnesota and SALIENT CAPITAL L.P. located in Houston, Texas.

Jamie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Jamie has worked at 4 firms and has passed the Series 66, Series 57TO, SIE, Series 55, Series 52, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jamie Lee Broeckel | Jamie Schlag

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) - RIA

Click below to view Jamie Lee Schlag'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 10, 2026 - Present

WESTWOOD MANAGEMENT CORP

RIA
CRD#: 110269
Blaine, MN
Current

August 13, 2024 - Present

SALIENT CAPITAL L.P.

Office #1: 10000 Memorial Drive Suite 650, Houston, TX 77024
BD
CRD#: 147912
HOUSTON, TX
Past

March 29, 2019 - July 8, 2024

GRADIENT SECURITIES, LLC

RIA
CRD#: 127701
ARDEN HILLS, MN
Past

March 25, 2019 - July 8, 2024

GRADIENT SECURITIES, LLC

BD
CRD#: 127701
ARDEN HILLS, MN
Past

October 21, 2013 - March 14, 2019

CAPITAL FINANCIAL SERVICES, INC.

RIA
CRD#: 8408
Minot, ND
Past

July 17, 2013 - March 14, 2019

CAPITAL FINANCIAL SERVICES, INC.

BD
CRD#: 8408
Minot, ND

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".
WM
WESTWOOD MANAGEMENT CORP
WESTWOOD MANAGEMENT CORP

CRD#: 110269 / SEC#: 801-18727

RIA
Registered Investment Advisory firm - (4/11/1983 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Minnesota
(8/13/2024)
IAR
Minnesota
(6/10/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/15/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/29/2014
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 52
Date: 1/22/2014
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/31/2014
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/5/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WM
WESTWOOD MANAGEMENT CORP
WESTWOOD MANAGEMENT CORP

CRD#: 110269 / SEC#: 801-18727

RIA
Registered Investment Advisory firm - (4/11/1983 Approved)
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Contact information

Main Address
200 Crescent Court Suite 1200, Dallas, TX 75201
Mailing Address
Phone number
(214) 756-6900
Established
Firm type
Fiscal year end
# of Employees
103

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WESTWOOD MANAGEMENT CORP. INVESTMENT ADVISER BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts293
AUM (Assets Under Management)$ 12,802,824,273

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

WESTWOOD MANAGEMENT CORP

CRD#: 110269Blaine, MN

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