4510 E Thousand Oaks Blvd
Westlake Village, CA 91362
         Phone:   805-497-9222

Affiliation Options

Our passion is to deliver the most effective business solution that to best suits
your unique talents and personal objectives. 

We recognize every independent investment professional is different which is why we focus on quality over quantity, and devote time and resources tailored to help your individual business thrive.

Investment Advisory Representative

To become registered as an Investment Advisor Representative (IAR) under FWG's RIA, individuals are required to pass either the Series 65 exam or to take both the Series 7 and Series 66 exams. Under certain circumstances the exam requirements can be fulfilled by meeting the exam waiver requirement by holding one or more of the following pre-qualifying designations such as Certified Financial Planner (CFP); Chartered Financial Planner (CFP); Chartered Financial Consultant (ChFC); Personal Financial Specialist (PFS); Chartered Financial Analyst (CFA) or Chartered Investment Counselor (CIC). Use of such exam waivers is subject to prior approval and verification of good standing with the issuing organization.

Investment Banker

The traditional aspects of investment banking include corporate finance which involves helping customers raise funds in capital markets or to give advice on merger and acquisitions. The term Investment Banker denotes an individual that is in the business primarily of raising capital for companies, governments and/or other entities. They manage the issuance of bonds, recommend and execute strategies for takeovers, mergers with other companies, and bringing a company’s stock to the public through an initial public offering (IPO) or other means. Qualifiers to engage in investment banking activities requires a strong background in finance and economics. Investment bankers must pass the Series 79 exam. The typical investment banker will have an MBA from an accredited university from a top-notch institution and/or the Chartered Financial Analyst designation.

Registered Representative

A Registered Representative, also referred to as a stockbroker or an account executive, is an individual who is licensed to sell securities depending the qualifying exam(s) taken.

To become a registered representative, a candidate must be sponsored by a Broker/Dealer firm and must pass a qualifying exam. The FINRA Series 7 examination (General Securities Representative Exam) is the most common however in some cases a representative may choose to take a more limited exam such as the Series 6 which only permits the representative to sell mutual funds and variable annuities. In addition to FINRA exams, candidates are also required to pass state exams such as the Series 63 exam (Uniform Securities Agent State Law Exam).

Depending on the exam qualifications, Registered Representatives are authorized to sell a large selection of securities to include stocks, bonds, options, mutual funds, limited partnership programs and variable annuities.

Registered Representatives who sell variable products such as variable annuities or variable universal life insurance policies must obtain the appropriate state insurance department license(s).

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