Individual Firm
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MATTHEW JACOB WESTPHAL
MATT WESTPHAL, MATTHEW J WESTPHAL
CRD#: 3171985
IA
B
MORGAN STANLEYCRD#: 149777 500 108th Avenue, North East
Suite 1900
Bellevue, WA 98004
Suite 1900
Bellevue, WA 98004
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
Arizona 10/28/2022
B
New Jersey 10/28/2022
B
California 10/28/2022
B
New Mexico 10/28/2022
B
Colorado 10/28/2022
B
New York 10/28/2022
B
Connecticut 10/28/2022
B
North Carolina 10/28/2022
B
District of Columbia 10/28/2022
B
Ohio 10/28/2022
B
Florida 10/28/2022
B
Oregon 10/28/2022
B
Georgia 10/28/2022
B
Pennsylvania 10/28/2022
B
Hawaii 10/28/2022
B
South Carolina 11/8/2022
B
Idaho 10/28/2022
B
Tennessee 10/28/2022
B
Indiana 10/28/2022
B
Texas 10/28/2022
B
Louisiana 10/28/2022
IA
Texas 10/28/2022
B
Maryland 10/28/2022
B
Utah 10/28/2022
B
Massachusetts 10/28/2022
B
Virginia 10/28/2022
B
Michigan 10/28/2022
B
Washington 10/28/2022
B
Minnesota 10/28/2022
IA
Washington 10/28/2022
B
Montana 10/28/2022
B
Wyoming 10/28/2022
B
Nevada 10/28/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 10/28/2022
B
Registered with this firm since 10/28/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/20/1999 - 10/31/2022 | SEATTLE, WA | |
B | 03/01/1999 - 10/31/2022 | SEATTLE, WA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.