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Jeffrey Westsmith

Executive Team Member at IEQ Capital

Investment adviser registrationFoster City, CASEC record checked 18 October 2026

19
Years in the industry
7
Years at the firm
4
Adviser firms
10
State registrations

IAPD record retrieved 18 October 2026SEC record

Jeffrey Westsmith is Executive Team Member of IEQ Capital, LLC, a Foster City investment adviser managing $56.8B. Jeffrey Westsmith has been registered through IEQ Capital since 11 June 2019, has 19 years in the industry across 4 firms and has passed 6 licensing exams.

Role at IEQ Capital

Title on Schedule A
Executive Team Member
Control
Jeffrey Westsmith is not a control person of IEQ Capital.
Ownership
An individual ownership band is not available in the source record.
Tenure
Jeffrey Westsmith has held the filed role since December 2023.

The firm

IEQ Capital, LLC
Foster City, CA

Form ADV filed 9 June 2026

$56.8B AUM2,309 clients193 advisers11 offices

Career on record

Jeffrey Westsmith has been registered through IEQ Capital since June 2019, and before that through First Republic Investment Management, Inc., Luminous Capital, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firms and exams, newest first
  1. Ieq Capital, LLCCurrent
    – present · 7 years
    Foster City, CA · Adviser representative · Firm CRD 301819
  2. Passed SIE · 2018
  3. Passed Series 63 and Series 22 · 2013
  4. First Republic Investment Management, Inc.
    – · 6 years
    Palo Alto, CA · Adviser representative · Firm CRD 108559
  5. Passed Series 3 · 2012
  6. Luminous Capital, LLC
    – · 5 years
    Portola Valley, CA · Adviser representative · Firm CRD 145566
  7. Merrill Lynch, Pierce, Fenner & Smith Incorporated
    – · 1 year
    Los Angeles, CA · Adviser representative · Firm CRD 7691
  8. Passed Series 66 · 2007
  9. Passed Series 7 · 2006

Registrations and exams

Jeffrey Westsmith has a current investment-adviser registration in California, Colorado, Connecticut, Florida, Maryland, Montana, Nevada, New York, Texas and Washington and has passed 6 qualifying exams.

California11 June 2019
Scope
Investment adviser representative
Status
Approved
Colorado25 March 2020
Scope
Investment adviser representative
Status
Approved
Connecticut25 March 2020
Scope
Investment adviser representative
Status
Approved
Florida28 March 2025
Scope
Investment adviser representative
Status
Approved
Maryland25 March 2020
Scope
Investment adviser representative
Status
Approved
Montana26 March 2020
Scope
Investment adviser representative
Status
Approved
Nevada18 April 2023
Scope
Investment adviser representative
Status
Approved
New York13 April 2023
Scope
Investment adviser representative
Status
Approved
Texas25 March 2020
Scope
Investment adviser representative
Status
Approved
Washington25 March 2020
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6310 January 2013
Name
Uniform Securities Agent State Law Examination
Series 6616 February 2007
Name
Uniform Combined State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 2219 January 2013
Name
Direct Participation Programs Representative Examination
Series 321 December 2012
Name
National Commodity Futures Examination
Series 714 December 2006
Name
General Securities Representative Examination

Individual record

Full name
Jeffrey S Westsmith
CRD
5147856
Firm
IEQ Capital, LLC
Registration status
Investment adviser registration
Office
950 TOWER LANE, SUITE 1800, Foster City, CA 94404

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Jeffrey Westsmith work?

Jeffrey Westsmith has been Executive Team Member of IEQ Capital, LLC since December 2023.

Source: Form ADV, Schedule A, filed 9 June 2026

Is Jeffrey Westsmith a financial advisor?

Yes. Jeffrey Westsmith has a current investment-adviser registration in California, Colorado, Connecticut, Florida, Maryland, Montana, Nevada, New York, Texas and Washington, through IEQ Capital since June 2019, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

How many years of experience does Jeffrey Westsmith have?

Jeffrey Westsmith has worked in the financial industry for 19 years as of 18 October 2026, counted from 16 January 2007, across 4 adviser firms.

Source: IAPD individual record, checked 18 October 2026

What exams has Jeffrey Westsmith passed?

Jeffrey Westsmith has passed 6 licensing exams: the Series 7, Series 66, Series 3, Series 63, Series 22 and SIE. The earliest, the Series 7, was passed in December 2006.

Source: IAPD individual record, checked 18 October 2026

Where did Jeffrey Westsmith work before IEQ Capital?

Before IEQ Capital, Jeffrey Westsmith was registered through First Republic Investment Management, Inc., January 2013 to June 2019; Luminous Capital, LLC, June 2008 to February 2013; Merrill Lynch, Pierce, Fenner & Smith Incorporated, February 2007 to May 2008.

Source: IAPD individual record, checked 18 October 2026

Where is Jeffrey Westsmith based?

Jeffrey Westsmith’s registered office is in Foster City, CA.

Source: IAPD individual record, checked 18 October 2026

Leadership at IEQ Capital

Sources

  1. IAPD individual record, CRD 5147856. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of IEQ Capital, LLC, filed 9 June 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Jeffrey Westsmith or IEQ Capital, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.