Brian E. Westerman

HIGHTOWER SECURITIES

Melville, NY 11747

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CRD#: 6495853

Professional summary

Brian Edward Westerman, who also goes by Brian E Westerman, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Melville, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2017. Brian has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian E Westerman

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.

BRIAN WESTERMAN 321 WEST 54TH STREET NEW YORK NY 10019 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFERING ACCIDENT AND HEALTH INSURANCE, DISABILITY INSURANCE, FIXED ANNUITIES, AND TRADITIONAL LIFE INSURANCE START DATE: FEBRUARY 2 2021 HOURS PER MONTH: 3

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Edward Westerman'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

April 22, 2025 - Present

HIGHTOWER SECURITIES, LLC

Office #1: 445 Broad Hollow Road Suite 332, Melville, NY 11747

CRD#: 116681

Melville, NY

Past

August 25, 2022 - October 30, 2024

DALMORE GROUP LLC

CRD#: 136352

New York, NY

Past

March 10, 2021 - April 20, 2022

OSAIC FA, INC.

RIA

CRD#: 3978

Branchburg, NJ

Past

February 22, 2021 - April 20, 2022

OSAIC FA, INC.

CRD#: 3978

Branchburg, NJ

Past

April 27, 2018 - February 23, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

NEW YORK, NY

Past

October 24, 2017 - April 25, 2018

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEW YORK, NY

Past

August 11, 2017 - April 25, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(4/22/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/19/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HIGHTOWER SECURITIES, LLC

CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC

CRD#: 116681 / SEC#: , 8-53560

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

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Contact information

Main Address

200 West Madison Street Suite 2500, Chicago, IL 60606-3414

Mailing Address

200 West Madison Street Suite 2500, Chicago, IL 60606-3414

Phone number

(312) 962-3800

Established

Illinois since 06/28/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HIGHTOWER HOLDING, LLC	PARENT COMPANY
BESSO, DOUGLAS JOSEPH	CTO	1530829
COVIELLO, BARRY ANTHONY	EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION	1813688
GRAY, KENDRA	MUNICIPAL PRINCIPAL	4388082
GRAY, KENDRA	CHIEF COMPLIANCE OFFICER	4388082
KARL, MATTHEW JAMES	PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP	5361093
SMITH, SCOTT DAVID	CHIEF EXECUTIVE OFFICER	2523535

Disclosures

Regulatory Event	5
Arbitration	1

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.

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Firm Stability Insights

Brian E. Westerman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Edward Westerman's CRS (Customer Relationship Summary).

Certified licenses

Experience

DALMORE GROUP LLC

OSAIC FA, INC.

OSAIC FA, INC.

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2017

SIE

Date: 10/1/2018

Series 7

Date: 8/11/2017

FINRA

Current Firm

HIGHTOWER SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HIGHTOWER SECURITIES, LLC

TRUST BUT VERIFY

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