DW
David L. West
TUCKER ASSET MANAGEMENT LLC
Orem, UT 84097
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CRD#: 1948424
DW
Professional summary
David Lee West is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Orem, Utah.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. David has worked at 10 firms and has passed the Series 63, Series 65 and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Lee 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
December 17, 2020 - Present
TUCKER ASSET MANAGEMENT LLC
Office #1: 1367 S. 740 E, Orem, UT 84097RIA
CRD#: 174844
Orem, UT
Past
October 3, 2013 - December 16, 2020
ALPINE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 132979
OREM, UT
Past
April 30, 2012 - July 25, 2012
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
SALT LAKE CITY, UT
Past
February 9, 2012 - July 25, 2012
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
SALT LAKE CITY, UT
Past
October 25, 2007 - February 12, 2010
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
OREM, UT
Past
October 25, 2007 - February 12, 2010
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
OREM, UT
Past
November 15, 2006 - October 12, 2007
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
OREM, UT
Past
August 29, 2006 - January 29, 2007
GREENBOOK SECURITIES, INC.
BD
CRD#: 121447
SAN DIEGO, CA
Past
May 11, 2006 - June 27, 2006
OSAIC FA, INC.
RIA
CRD#: 3978
SALT LAKE CITY, UT
Past
January 6, 2005 - October 11, 2007
GREENBOOK INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 131563
OREM, UT
Past
January 16, 2003 - December 31, 2004
XELAN FINANCIAL PLANNING, INC.
RIA
CRD#: 123794
OREM, UT
Past
January 1, 2002 - January 16, 2003
XELAN INVESTMENT SERVICES, INC.
RIA
CRD#: 111870
OREM, UT
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".
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)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.Highlighted states indicate IAR registrations
IAR
Utah(12/17/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1520 West Canal Court Suite 100, Littleton, CO 80120
Mailing Address
Phone number
(303) 734-1234
Established
Firm type
Fiscal year end
# of Employees
80
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,243 |
| AUM (Assets Under Management) | $ 640,805,363 |
Red Flags
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Company Information
TUCKER ASSET MANAGEMENT LLC
CRD#: 174844Orem, UT 84097TRUST BUT VERIFY
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