Davis H. Westfield

AUGUST WEALTH GROUP

Phoenix, AZ

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CRD#: 7138179

Professional summary

Davis Howard Westfield, CFP® is a registered financial advisor currently at AUGUST WEALTH GROUP, INC. located in Phoenix, Arizona.

Davis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Davis has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

DoorDash food delivery driver.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Davis Howard Westfield's 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®

CFP^®

Certified Financial Planner

Experience

Current

August 24, 2023 - Present

AUGUST WEALTH GROUP, INC.

RIA

CRD#: 149542

Phoenix, AZ

Past

August 30, 2019 - October 7, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, CO

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(8/24/2023)

IAR

Colorado
(11/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/6/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/30/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/2/2019

Securities Industry Essentials Examination

Current Firm

AUGUST WEALTH GROUP, INC.

AUGUST GROUP | AUGUST WEALTH GROUP, INC. | AUGUST WEALTH GROUP | AUGUST GROUP, INC.

CRD#: 149542 / SEC#:

Arizona

Registered Investment Advisory firm - (8/24/2023 Approved)

Colorado

Registered Investment Advisory firm - (5/27/2009 Approved)

Maine

Registered Investment Advisory firm - (3/28/2023 Approved)

Texas

Registered Investment Advisory firm - (9/8/2021 Conditional Restricted)

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Contact information

Main Address

Bristol, ME

Mailing Address

Phone number

(207) 563-6475

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	201
AUM (Assets Under Management)	$ 42,370,000

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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Davis H. Westfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Davis Howard Westfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUGUST WEALTH GROUP, INC.

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/6/2019

Series 7TO

Date: 8/30/2019

SIE

Date: 8/2/2019

Current Firm

AUGUST WEALTH GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AUGUST WEALTH GROUP, INC.

TRUST BUT VERIFY

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