JW
Jack C. West
KESTRA PRIVATE WEALTH SERVICES
BREA, CA 92821
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CRD#: 1735378
JW
Professional summary
Jack Charles West is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Brea, California and KESTRA INVESTMENT SERVICES, LLC located in Brea, California.
Jack is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Jack has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22 and Series 39 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.
Business Name: J.C. West & Associates, Inc. Wealth Management Investment Related: Yes Address: Three Pointe Drive Suite 107 Brea CA 92821 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Registered Rep and Financial Advisor with Kestra Financial. President of JC West & Associates, Inc. Start Date: 2/17/2015 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Providing Financial and Wealth Management Consulting Services to clients, including Retirement and Financial Planning. Also some Equity Trading and occassionally Life Insurance and Variable Annuities products.
CRS (Client Relationship Summary) - RIA
Click below to view Jack Charles 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®
NoneExperience
Current
February 17, 2015 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 3 Pointe Drive Suite 111, Brea, CA 92821RIA
CRD#: 155193
BREA, CA
Current
February 24, 2015 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3 Pointe Drive Suite 111, Brea, CA 92821BD
CRD#: 42046
Brea, CA
Past
August 28, 2008 - February 6, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANTA ANA, CA
Past
August 28, 2008 - February 6, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
SANTA ANA, CA
Past
June 8, 2007 - September 4, 2008
CROWELL, WEEDON & CO.
RIA
CRD#: 193
IRVINE, CA
Past
December 7, 2006 - September 4, 2008
CROWELL, WEEDON & CO.
BD
CRD#: 193
IRVINE, CA
Past
February 13, 2002 - December 7, 2006
SMART INVESTMENTS ADVISORY INCORPORATED
RIA
CRD#: 107778
IRVINE, CA
Past
May 9, 2001 - November 29, 2001
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN DIEGO, CA
Past
May 9, 2001 - December 7, 2006
THE SEIDLER COMPANIES INCORPORATED
BD
CRD#: 3911
IRVINE, CA
Past
August 17, 1995 - April 20, 2001
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
NEWPORT BEACH, CA
Past
January 23, 1994 - September 15, 1995
LAZAR FREDERICK & COMPANY
BD
CRD#: 15615
BEVERLY HILLS, CA
Past
May 13, 1993 - January 7, 1994
UNISON CAPITAL GROUP
BD
CRD#: 22519
MOUNTAIN VIEW, CA
Past
February 3, 1989 - April 9, 1991
VESTCORP SECURITIES, INC.
BD
CRD#: 14746
IRVINE, CA
Past
September 18, 1987 - March 6, 1989
EQUITY PROGRAMS CORPORATION
BD
CRD#: 6100
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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(4/2/2015)
IAR
California(2/17/2015)
RR
California(2/24/2015)
RR
Colorado(7/7/2016)
RR
Connecticut(9/23/2019)
RR
Florida(8/31/2017)
RR
Hawaii(1/8/2021)
RR
Idaho(9/30/2016)
RR
Indiana(12/13/2016)
RR
Nevada(12/13/2017)
RR
New Hampshire(11/19/2018)
RR
New York(2/24/2015)
RR
Ohio(4/20/2016)
RR
Oregon(2/24/2015)
RR
Texas(2/24/2015)
IAR
Texas(7/27/2023)
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
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
