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Detailed Report
JACOB SCOTT WESTPHAL
CRD#: 6412147
IA
Investment Adviser
B
Broker
HEARTLAND ADVISORS, INC.CRD#: 29433 790 N WATER STREET SUITE 1200
MILWAUKEE, WI 53202
ALPS DISTRIBUTORS, INC.CRD#: 16853 790 Water Street
Suite 1200
MILWAUKEE, WI 53202
Registration History
201820192020202120222023202420252026IAHEARTLAND ADVISORS, INC. (CRD# 29433)2021 - Present (4 years)BALPS DISTRIBUTORS, INC. (CRD# 16853)2020 - Present (4 years)BUBS SECURITIES LLC (CRD# 7654)2018 - 2020 (1 year)
License(s)

State Registrations

B
Wisconsin 4/22/2020
IA
Wisconsin 3/31/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HEARTLAND ADVISORS, INC. (CRD#:29433)
790 N WATER STREET SUITE 1200, MILWAUKEE, WI 53202
Registered with this firm since 3/31/2021
B
ALPS DISTRIBUTORS, INC. (CRD#:16853)
790 Water Street Suite 1200, MILWAUKEE, WI 53202
Registered with this firm since 4/22/2020
Previous Registration(s)
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B
 08/04/2018 - 03/24/2020 UBS SECURITIES LLC (CRD#:7654) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.