David R. Westcott
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.
David Ray Westcott, who also goes by Dave Westcott, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1979. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2015 - October 4, 2024
GOVERNMENT PORTFOLIO ADVISORS LLC
February 4, 2014 - October 31, 2017
MUTUAL SECURITIES, INC.
January 18, 2006 - February 6, 2014
DAVIDSON FIXED INCOME MANAGEMENT, INC.
June 11, 2002 - February 6, 2014
D.A. DAVIDSON & CO.
June 10, 2002 - February 6, 2014
D.A. DAVIDSON & CO.
April 17, 1986 - July 3, 2002
PIPER SANDLER & CO.
July 21, 1983 - April 8, 1986
BOETTCHER & COMPANY, INC.
January 31, 1980 - August 10, 1983
UBS FINANCIAL SERVICES INC.
February 1, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
Primary Firm SEC Registration
GOVERNMENT PORTFOLIO ADVISORS LLC
CRD#: 170384 / SEC#: 801-79184
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
Series 8
Date: 1/27/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GOVERNMENT PORTFOLIO ADVISORS LLC
CRD#: 170384 / SEC#: 801-79184
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73 |
| AUM (Assets Under Management) | $ 25,897,235,362 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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