Joan A. 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.
Joan Atkins West, who also goes by Joan Marcella Atkins, Joan Atkins Marcella, Joan A West, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1998. Joan had worked at 3 firms and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2003 - January 5, 2017
FIRST BALLANTYNE, LLC
January 24, 2000 - May 1, 2003
MORGAN KEEGAN & COMPANY, LLC
January 15, 1998 - November 4, 1999
FIRST TRYON SECURITIES, LLC
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 28
Date: 1/7/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST BALLANTYNE, LLC
CRD#: 125393 / SEC#: , 8-65792
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
