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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Stuart Westphal is a financial advisor registered with Wells Fargo Clearing Services, LLC. David has been in the financial industry since 1993 and is based in Grand Rapids, Michigan. David has been registered with Wells Fargo Clearing Services, LLC since 2010 and previously held positions at A. G. EDWARDS & SONS, INC. and SIGMA FINANCIAL CORPORATION. David holds a Series 7, 6, 63, and 66 licenses as well as the Series 65 license and is a Certified Financial Planner. David is currently registered with the state of Michigan for both Broker/Dealer and Investment Advisor activities. David has over 20 years of experience in the financial industry and has a comprehensive understanding of investment strategies and financial planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MI
10/14/2010 - Present
Wells Fargo Clearing Services, LLC (GRAND RAPIDS MI)
MI
06/19/2006 - 01/03/2008
A. G. EDWARDS & SONS, INC. (GRAND RAPIDS MI)
MI
07/01/2003 - 06/15/2006
SIGMA FINANCIAL CORPORATION (GRAND RAPIDS MI)
MO
08/23/2002 - 06/30/2003
CUTTER & COMPANY, INC. (BALLWIN MO)
BOTH
Issued 09/28/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/11/2003
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2002
Series 7 - General Securities Representative Examination
BC
Issued 10/25/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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