Richard H. Westerman
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.
Richard Herbert Westerman, who also goes by Dick Westerman, Richard H Westerman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, PC, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2008 - October 21, 2019
NORTHWEST INVESTMENT ADVISORS, INC.
January 14, 2008 - July 23, 2019
NORTHWEST INVESTMENT ADVISORS, INC.
March 27, 2007 - December 31, 2007
OSAIC SERVICES, INC.
March 21, 2007 - December 31, 2007
OSAIC SERVICES, INC.
June 19, 1998 - January 31, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 12, 1998 - January 31, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 25, 1993 - May 6, 1998
WELLS FARGO CLEARING SERVICES, LLC
October 13, 1980 - May 26, 1993
PIPER SANDLER & CO.
September 26, 1978 - November 10, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
NORTHWEST INVESTMENT ADVISORS, INC.
CRD#: 109737 / SEC#: , 8-65282
Contact information
FINRA licenses (13 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUBB, SEAN MICHAEL | PRESIDENT/SECRETARY/CCO/CFO | 4110305 |
Regulatory assets under management
| Total Number of Accounts | 95 |
| AUM (Assets Under Management) | $ 35,259,644 |
Disclosures
| Regulatory Event | 1 |
| 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.
