Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Duane? Claim Your ProfileDuane Westerman is a financial professional with over 35 years of experience in the industry. Duane has a broad range of experience and holds licenses to provide services across several states, including Texas, Florida, and Arkansas. Duane currently works with Samco Capital Markets, Inc. and previously worked at firms such as Penson Financial Services, Inc., Service Asset Management Company, and Southwest Securities, Inc. Duane holds a variety of licenses and certifications, including Series 7, 9, 10, 24, 27, 50, 53, 63, 79TO, 99TO and SIE. Duane has a strong background in securities, investments, 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.
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.
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2
TX
10/17/2005 - Present
Samco Capital Markets, Inc. (SAN ANTONIO TX)
TX
02/03/2003 - 06/16/2006
PENSON FINANCIAL SERVICES, INC. (SAN ANTONIO TX)
TX
07/20/2000 - 02/03/2003
SERVICE ASSET MANAGEMENT COMPANY (AUSTIN TX)
TX
02/14/2000 - 09/01/2000
SERVICE ASSET MANAGEMENT COMPANY (DALLAS TX)
TX
10/19/1990 - 02/15/2000
SOUTHWEST SECURITIES, INC. (DALLAS TX)
NA
07/06/1989 - 10/30/1990
KNIBBE FINANCIAL GROUP, INC.
TX
07/31/1985 - 07/27/1989
M. E. ALLISON & CO., INC. (SAN ANTONIO TX)
BC
Issued 08/14/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/03/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/15/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 04/19/1986
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/07/1986
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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