Richard Eric Westerberg

Current Employers

Employment History

• 01/1991 → 09/2018
  Northeast Securities, Inc.
  Mitchel Field, NY
• 07/2004 → 09/2018
  Northeast Asset Management Inc.
  Mitchel Field, NY
• 09/2018 → 10/2024
  American Portfolios Financial Services, Inc.
  Holbrook, NY
• 10/2024 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ

Previous Registrations

• 2018-09-27 → 2024-10-11
  American Portfolios Advisors, Inc
  Holbrook, NY
• 2007-01-24 → 2018-12-31
  Northeast Asset Management Llc
  Miami, FL
• 2004-09-03 → 2007-01-22
  Northeast Asset Management Llc
  Mitchel Field, NY
  Miami, FL

Other Businesses

1. INDEPENDENT INSURANCE AGENT POSITION: Insurance Agent NATURE: INSURANCE & FIXED ANNUITY SALES INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1988 ADDRESS: 4250 Veterans Memorial Hwy, Holbrook NY 11741, United States DESCRIPTION: I will occasionally recommend life insurance or fixed annuity products when appropriate for the client. 2. WESTERBERG WEALTH MANAGEMENT, INC. POSITION: President NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/17/2018 ADDRESS: 3 Oak Neck Ln, West Islip NY 11795, United States DESCRIPTION: I pay various business related office expenses through this business checking account.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-07-21
• S63 Uniform Securities Agent State Law Examination
  1983-12-15