MW
Michael D. West
CETERA INVESTMENT ADVISERS LLC
CONCORD, CA 94521-3200
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CRD#: 1560715
MW
Professional summary
Michael Dennis West, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, California and CETERA WEALTH SERVICES, LLC located in Concord, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Willows Investors At Camp Verde 1487 W Horseshoe Bend Dr~Camp Verde~AZ~86322~Rental Property~Owner~1/12/2017~1hrs~1hrs~Passive Investor 2) Michael D. West, EA, CFP 5356 Clayton Rd., Ste 216~Concord~CA~94521~Tax Preparation/Accounting~Owner/Sole Proprietor~3/1/1996~160hrs~100hrs~Tax services 3) Michael West & Associates 5356 Clayton Rd, Ste 216~Concord~CA~94521~Tax Preparation/Accounting~Tax Preparation/Accounting~3/1/1996~160hrs~100hrs~Tax preparation/Financial Services 4) Rich Island Inc 5356 Clayton Rd, Ste 216~Concord~CA~94521~Other~President~5/1/2012~2hrs~0hrs~Duck club 5) Rental Property 1349 Shell Ln~Clayton~CA~94517~Rental Property~Owner~10/1/2004~2hrs~1hrs~Manage property 6) West Financial Services 5356 Clayton Rd, Ste 216~Concord~CA~94521~Tax Preparation/Accounting~Owner/Sole Proprietor~1/1/1978~40hrs~40hrs~Tax Preparation 7) De Rancho Mobile Home Park 6201 Wible Rd Bakersfield~Bakersfield~CA~93313~Rental Property~Owner~12/1/2020~1hrs~1hrs~Investor
CRS (Client Relationship Summary) - RIA
Click below to view Michael Dennis West's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5356 Clayton Road Suite 216, Concord, CA 94521-3200RIA
CRD#: 105644
CONCORD, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5356 Clayton Rd Suite 216, Concord, CA 94521BD
CRD#: 13572
CONCORD, CA
Past
July 8, 1997 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CONCORD, CA
Past
October 28, 1986 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CONCORD, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Nevada(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Oregon(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
RR
Wyoming(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Concord, CA 94521-3200TRUST BUT VERIFY
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