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NW

Nicholas L. Westerman

SAMCO CAPITAL MARKETS
San Antonio, TX 78209
Some features on this profile are disabled
CRD#: 6568405
NW

Professional summary

Nicholas Lawrence Westerman is a registered financial professional currently at SAMCO CAPITAL MARKETS, INC. located in San Antonio, Texas.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2016. Nicholas has worked at 1 firm and has passed the Series 63, SIE, Series 50 and Series 7 exams.

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 Nicholas Lawrence 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

June 1, 2016 - Present

SAMCO CAPITAL MARKETS, INC.

Office #1: 1020 Ne Loop 410 Suite 640, San Antonio, TX 78209
BD
CRD#: 136532
San Antonio, TX

State Registrations and Notice Filings

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

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
New Mexico
(4/10/2025)
RR
Texas
(6/1/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 9/12/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 6/1/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SAMCO CAPITAL MARKETS, INC.
SAMCO CAPITAL MARKETS, INC.

CRD#: 136532 / SEC#: , 8-67023

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

Main Address
6805 Capital Of Texas Highway Suite 350, Austin, TX 78731
Mailing Address
6805 Capital Of Texas Highway Suite 350, Austin, TX 78731
Phone number
(512) 794-9100
Established
Texas since 05/09/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
SAMCO HOLDINGS, INC.SHAREHOLDER
ENGEMOEN, ROGER JAMES JRCHAIRMAN, DIRECTOR1506062
MALDONADO, OLGA INEZ RCFO, CONTROLLER, FINOP1974097
MANNES, JOSEPH REIDCSO, PRESIDENT, ROSFP1946872
MAVERICK, JOSEPH LEE JRCHIEF COMPLIANCE OFFICER, ROSFP2170350

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

SAMCO CAPITAL MARKETS, INC.

CRD#: 136532San Antonio, TX 78209

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