Kenneth D. West
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kenneth D West, who also goes by Kenneth D West, Kenneth Dorsey West, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1982. Kenneth had worked at 10 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2005 - December 21, 2012
ALLSTATE FINANCIAL SERVICES, LLC
January 21, 2005 - May 23, 2005
LEGEND ADVISORY, LLC
November 30, 2004 - May 23, 2005
LEGEND EQUITIES CORPORATION
April 22, 2002 - December 31, 2003
VERITRUST FINANCIAL, LLC
October 21, 1998 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
June 19, 1996 - January 1, 1998
ARAGON FINANCIAL SERVICES, INC.
August 17, 1995 - December 31, 1995
ARAGON FINANCIAL SERVICES, INC.
January 3, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 3, 1989 - April 21, 1995
MONY SECURITIES CORPORATION
December 24, 1986 - October 4, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
July 19, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
April 28, 1982 - July 16, 1982
PW SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
