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John Arthur Westerfield

Wells Fargo Securities, LLC

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About John Arthur Westerfield

John Westerfield is a financial professional with over 20 years of experience in the industry. John has a broad range of experience, having worked at Deutsche Bank Securities Inc., UBS Securities LLC, and currently at Wells Fargo Securities, LLC. John has a strong track record of success in the industry, holding a variety of licenses and registrations.

Firm Information

John Westerfield is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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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John Westerfield’s Registration & Firm History

MA

08/02/2017 - Present

Wells Fargo Securities, LLC (BOSTON MA)

MA

07/28/2011 - 08/01/2017

DEUTSCHE BANK SECURITIES INC. (BOSTON MA)

MA

10/25/2001 - 05/26/2011

UBS SECURITIES LLC (BOSTON MA)

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Licenses & Designations

BC

Issued 10/29/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/17/2010

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/24/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for John Arthur Westerfield.
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