Roderick L. 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.
Roderick Leonard West, who also goes by R L West, was a registered financial professional .
Roderick is a previously registered financial professional and started their career in finance in 1990. Roderick had worked at 10 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - July 7, 2020
STONEX SECURITIES INC.
February 23, 2004 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
March 20, 1998 - April 7, 1999
IDS LIFE INSURANCE COMPANY
March 20, 1998 - April 7, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
August 17, 1994 - August 6, 1996
W.J. GALLAGHER & COMPANY, INC.
February 24, 1994 - July 26, 1994
H.J. MEYERS & CO., INC.
August 11, 1993 - September 2, 1993
H.J. MEYERS & CO., INC.
July 30, 1993 - August 7, 1993
ANNANDALE SECURITIES, INC.
March 12, 1992 - October 15, 1992
MILLER JOHNSON STEICHEN KINNARD, INC.
August 13, 1990 - February 28, 1991
KOBER FINANCIAL CORP.
April 24, 1990 - October 18, 1990
BLINDER, ROBINSON & CO., INC.
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 7TO
Date: 3/12/2022
General Securities Representative ExaminationCurrent Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
