Cole 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.
Cole Westphal, who also goes by Cole James Westphal, was a registered financial professional .
Cole is a previously registered financial professional and started their career in finance in 2017. Cole had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2024 - October 10, 2025
ATHENE SECURITIES, LLC
July 26, 2021 - October 17, 2023
SAMMONS FINANCIAL NETWORK, LLC
August 11, 2020 - July 26, 2021
SYMETRA SECURITIES, INC.
August 22, 2017 - September 26, 2019
U.S. BANCORP INVESTMENTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ATHENE SECURITIES, LLC
CRD#: 36867 / SEC#: , 8-47499
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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