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Robert S. West

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CRD#: 1320643
RW

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 Samuel West was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 7 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 25, 2011 - August 6, 2014

PRAGER & CO., LLC

BD
CRD#: 21567
SAN FRANCISCO, CA
Past

September 28, 2004 - January 7, 2008

NATIXIS SECURITIES NORTH AMERICA INC.

BD
CRD#: 28722
CHICAGO, IL
Past

July 30, 2001 - June 21, 2004

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

January 28, 1995 - November 29, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 15, 1990 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

July 25, 1987 - March 14, 1990

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

BD
CRD#: 19727
Past

January 8, 1985 - March 14, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/11/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1984
General Securities Representative Examination

Current Firm

P&
PRAGER & CO., LLC
PRAGER & CO. | PRAGER, SEALY & CO., LLC | PRAGER, MCCARTHY & SEALY, LLC | PRAGER, MCCARTHY & SEALY | PRAGER, MCCARTHY & LEWIS | PRAGER & COMPANY, LLC | PRAGER & CO., LLC

CRD#: 21567 / SEC#: , 8-39048

BD
Terminated by SEC on 02/18/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRAGER MANAGEMENT CO., LLCMANAGING MEMBER
DAVIDENKO, CHARITYCCO4203342
HETZ, EDWIN DAVIDMANAGING DIRECTOR & CEO1191057
PRAGER, FREDRIC JOELMANAGING DIRECTOR1018994
THURMAN, RHETT DAVIDMANAGING DIRECTOR/CFO/COO4484341

Disclosures

Regulatory Event7

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.

Company Information

PRAGER & CO., LLC

CRD#: 21567

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