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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

DAVID STUART WESTPHAL

Advisor at WELLS FARGO ADVISORS

GRAND RAPIDS, MI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 12, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 4, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S66|S63
First exam: Dec 4, 1996
First registration: Sep 12, 2000
Dual registered: yes, broker-dealer
Other names: DAVID WESTPHAL
IAPD individual key: 2417437

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Oct 14, 2010	n/a	yes	GRAND RAPIDS, MI	Current employment
Spc	Bd affiliated wealth	Jan 12, 2004	Jun 15, 2006	no	GRAND RAPIDS, MI	Previous registration
CUTTER & COMPANY, INC.	Former SEC adviser	Aug 22, 2002	Jun 30, 2003	no	MANCHESTER, MO	Previous registration
CAPITAL MANAGEMENT SERVICES, INC.	Independent wealth	Jan 1, 2001	Jan 8, 2004	no	MANCHESTER, MO	Previous registration
CRITERIUM CAPITAL INVESTMENTS, LTD	n/a	Sep 12, 2000	Dec 31, 2003	no	GRAND RAPIDS, MI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Spc	WELLS FARGO ADVISORS	Jun 15, 2006	Oct 14, 2010	1,582	Firm change after gap	Other
CAPITAL MANAGEMENT SERVICES, INC.	CUTTER & COMPANY, INC.	Jan 8, 2004	Aug 22, 2002	-504	Firm change after gap	Other
CRITERIUM CAPITAL INVESTMENTS, LTD	CAPITAL MANAGEMENT SERVICES, INC.	Dec 31, 2003	Jan 1, 2001	-1,094	Firm change after gap	Other
CUTTER & COMPANY, INC.	Spc	Jun 30, 2003	Jan 12, 2004	196	Firm change	Other

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Oct 14, 2010 to presentfactForm ADV
→ SPCRegistered adviserregistration: previous registration
Jan 12, 2004 to Jun 15, 2006factForm ADV
→ CAPITAL MANAGEMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 1, 2001 to Jan 8, 2004factForm ADV
→ CRITERIUM CAPITAL INVESTMENTS, LTDRegistered adviserregistration: previous registration
Sep 12, 2000 to Dec 31, 2003factForm ADV
→ CUTTER & COMPANY, INC.Registered adviserregistration: previous registration
Aug 22, 2002 to Jun 30, 2003factForm ADV

Dated events

No dated event names this entity yet.