Robert L. 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.
Robert Lewis West, who also goes by Rob West, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1982. Robert had worked at 10 firms and has passed the Series 63, Series 7 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
January 6, 2004 - December 21, 2005
EPS INVESTMENT ADVISORS
May 12, 1998 - November 12, 2003
WRP INVESTMENTS, INC.
June 23, 1997 - April 17, 1998
WMA SECURITIES, INC.
July 2, 1990 - July 22, 1997
VESTAX SECURITIES CORPORATION
November 4, 1987 - July 6, 1990
MORGAN STANLEY DW INC.
May 21, 1985 - November 19, 1987
PRUDENTIAL EQUITY GROUP, LLC
January 30, 1984 - May 29, 1985
KEYBANC CAPITAL MARKETS INC.
November 22, 1983 - February 21, 1984
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 14, 1983 - November 30, 1983
MARION BASS SECURITIES CORPORATION
August 3, 1982 - June 13, 1983
LEHMAN BROTHERS DISTRIBUTORS 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
No current employment
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.
