Stephen Michael Westlake

Current Employers

Employment History

• 09/2005 → 03/2020
  Ameriprise Financial Services, Inc.
  Granite Bay, CA
• 03/2020 → 07/2025
  Ameriprise Financial Services, Llc
  Roseville, CA
• 07/2025 → Present
  Northrock Partners, Llc
  Roseville, CA

Previous Registrations

• 1997-12-15 → 2025-07-14
  Ameriprise Financial Services, Llc
  Roseville, CA
  Roseville, CA
  Sacramento, CA
  Auburn, CA
  Carson City, NV

Other Businesses

Business Ownership; SCB Ventures; owner; Provides managment and employee services to operate the Westlake, Grahl, and Glover financial planning business; 3741 Douglas Blvd, Suite 290, , Roseville, CA, 95661; Not Investment-Related; 08/01/2020; 10 to 19 hours per month; 0 during trading hours / SCB Business Solutions; Member; Legal entity created to facilitate business pllanning for small business owners and manage professional alliance relationships. As consultants we provide expertise to promote the alignment of ideas and concepts to the needs of the business owners. In addition, we manage professional alliance relationships through contractual efforts of Employshare.; 3741 Douglas Blvd, Suite 290, , Roseville, CA, 95661; Not Investment-Related; 10/01/2011; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Keaton's Childhood Cancer Alliance; Executive Board Member; 2260 Douglas Blvd, Ste 150, , Roseville, CA, 95661; Not Investment-Related; 02/28/2014; 10 to 19 hours per month; 1 to 9 during trading hours. Outside Employment; SCB Ventures, LLC; Member - owner; ; 3741 Douglas Blvd, Ste 290, , Roseville, CA, 95661; Not Investment-Related; 08/01/2020; 10 to 19 hours per month; 0 during trading hours.

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-03-31
• S65 Uniform Investment Adviser Law Examination
  1994-03-31

Designations