Stephen J. 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.
Stephen James West JR was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 1994 - March 26, 1997
DONALD & CO. SECURITIES INC.
September 29, 1992 - April 8, 1994
MID-STATE SECURITIES CORP.
July 30, 1990 - May 22, 1992
HIBBARD BROWN & 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
Current Firm
DONALD & CO. SECURITIES INC.
CRD#: 7776 / SEC#: , 8-20952
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Civil Event | 2 |
| Arbitration | 12 |
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.
