Neil Westerman has been an investment adviser representative at Summit Wealth Management Group since May 2024, and is not listed among the firm’s executive officers or direct owners.
Summit Wealth Management Group, Inc. is a Camarillo, CA firm with $250M under management, 386 clients and 2 advisers in one office, as of its October 2026 filing.
Neil Westerman is a Client Services Associate of Summit Wealth Management Group. He joined the firm with over eighteen years of experience in the financial services industry, including over a decade supporting Financial Planners and several years as an Advisor within a major bank retail environment.
Neil Westerman’s longest registration was 6 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2016–2023). Before joining Summit Wealth Management Group in 2024, Neil Westerman was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Lincoln Financial Advisors Corporation.
- – present · 2 yearsCamarillo, CA · Adviser representative · Firm CRD 170029
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 6 yearsCamarillo, CA · Adviser representative · Firm CRD 7691
- Lincoln Financial Advisors Corporation– · 2 yearsWestlake Village, CA · Adviser representative · Firm CRD 3978
- Lincoln Financial Advisors Corporation– · 5 yearsOxnard, CA · Adviser representative · Firm CRD 3978
Investment adviser representative registrations
Neil Westerman is registered as an investment adviser representative in California, since May 2024.
- CaliforniaSince 17 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 16 August 2006 |
| Series 7 | General Securities Representative Examination | 26 January 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Neil James Westerman
- CRD
- 5037394
- Firm
- Summit Wealth Management Group · CRD 170029
- Office
- 400 CAMARILLO RANCH ROAD, SUITE 202, Camarillo, CA 93012
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 2008
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- yoursummitwealth.com
Where does Neil Westerman work?
Neil Westerman is an investment adviser representative registered through Summit Wealth Management Group, Inc. since May 2024, and is not listed among the firm’s executive officers or direct owners.
Is Neil Westerman a financial advisor?
Yes. Neil Westerman has a current investment-adviser registration in California, through Summit Wealth Management Group since May 2024.
How many years of experience does Neil Westerman have?
Neil Westerman has 18 years in the financial industry, since September 2008, across 3 adviser firms.
What exams has Neil Westerman passed?
Neil Westerman has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in January 2006. FINRA credited Neil Westerman with the SIE, which began in October 2018.
Where did Neil Westerman work before Summit Wealth Management Group?
Before Summit Wealth Management Group, Neil Westerman was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, August 2016 to February 2023; Lincoln Financial Advisors Corporation, September 2013 to August 2016; Lincoln Financial Advisors Corporation, August 2006 to April 2012.
Where is Neil Westerman based?
Neil Westerman’s registered office is in Camarillo, CA.
Is Neil Westerman registered with FINRA?
Yes. Neil Westerman has a current broker registration, under CRD 5037394.
Source: FINRA BrokerCheck
How can I verify Neil Westerman’s record?
Search CRD 5037394 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Neil Westerman’s full registration record.
