Jerome Y. 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.
Jerome York West, who also goes by Gerald York West, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1983. Jerome had worked at 3 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2003 - November 13, 2017
WEST INVESTMENT ADVICE LLC
May 4, 1989 - November 8, 2001
CHARLES SCHWAB & CO., INC.
October 20, 1983 - May 21, 1985
ROBERT W. BAIRD & CO. INCORPORATED
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
Series 8
Date: 8/31/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WEST INVESTMENT ADVICE LLC
CRD#: 124183 / SEC#:
Contact information
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.
