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Carrie Stockton Westfall
CARRIE LYNN STOCKTON, CARRIE L WESTFALL
CRD#: 2931618
IA
Investment Adviser
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Broker
TLG ADVISORS, INC.CRD#: 111052 10000 Memorial Drive, Suite 200
Houston, TX 77024
THE LEADERS GROUP, INC.CRD#: 37157 10000 Memorial Drive, Suite 200
Houston, TX 77024
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2020 - 2021 (1 year)2 FIRMS2022 - Present (3 years)BINVESCO DISTRIBUTORS, INC. (CRD# 7369)1998 - 2019 (20 years)IAINVESCO ADVISERS, INC. (CRD# 105360)2010 - 2019 (9 years)IAINVESCO AIM PRIVATE ASSET MANA... (CRD# 109264)2006 - 2010 (3 years)
License(s)

State Registrations

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Texas 1/3/2022

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Texas 1/3/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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THE LEADERS GROUP, INC. (CRD#:37157)
10000 Memorial Drive, Suite 200, Houston, TX 77024
Registered with this firm since 1/3/2022

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TLG ADVISORS, INC. (CRD#:111052)
10000 Memorial Drive, Suite 200, Houston, TX 77024
Registered with this firm since 1/3/2022

Previous Registration(s)
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05/18/2020 - 12/31/2021 CONCOURSE FINANCIAL GROUP ADVISORS (CRD#:15708) HOUSTON, TX
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05/18/2020 - 12/31/2021 CONCOURSE FINANCIAL GROUP SECURITIES, INC. (CRD#:15708) HOUSTON, TX
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01/01/2010 - 06/03/2019 INVESCO ADVISERS, INC. (CRD#:105360) ATLANTA, GA
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11/03/1998 - 06/03/2019 INVESCO DISTRIBUTORS, INC. (CRD#:7369) HOUSTON, TX
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11/22/2006 - 01/01/2010 INVESCO AIM PRIVATE ASSET MANAGEMENT, INC. (CRD#:109264) HOUSTON, TX
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.