Dennis G. 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.
Dennis Gordon West, who also goes by Dennis Gordon West, Dennis West, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1982. Dennis had worked at 18 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2021 - July 20, 2021
FIDELITY BROKERAGE SERVICES LLC
October 30, 2017 - January 22, 2021
COUNTRY CAPITAL MANAGEMENT COMPANY
March 11, 2015 - December 31, 2015
ALPS DISTRIBUTORS, INC.
April 18, 2014 - February 10, 2015
MSC - BD, LLC
February 8, 2011 - May 16, 2012
SAYBRUS EQUITY SERVICES, LLC
June 30, 2010 - October 1, 2010
PACIFIC WEST FINANCIAL CONSULTANTS INC
June 30, 2010 - October 1, 2010
PACIFIC WEST SECURITIES, INC.
June 18, 2008 - February 17, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 18, 2008 - February 17, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 24, 2002 - February 1, 2008
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
April 30, 1999 - February 1, 2008
NYLIFE DISTRIBUTORS LLC
August 19, 1998 - May 3, 1999
NYLIFE SECURITIES LLC
July 28, 1997 - June 4, 1998
EQUITABLE DISTRIBUTORS, LLC
July 9, 1996 - June 30, 1997
SIGNATOR FINANCIAL SERVICES, INC.
January 31, 1995 - May 29, 1996
VOYA FINANCIAL PARTNERS, LLC
August 7, 1993 - December 16, 1994
VERAVEST INVESTMENTS, INC.
May 19, 1988 - April 8, 1992
CAPITAL BROKERAGE CORPORATION
July 15, 1983 - June 10, 1988
LEHMAN BROTHERS INC.
February 26, 1982 - January 18, 1988
FOSTER & MARSHALL 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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
