David E. 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.
David Eugene West, who also goes by David E West, David West, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1997. David had worked at 6 firms and has passed the Series 63, Series 65, Series 79TO, SIE, 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
March 2, 2012 - March 1, 2023
TCC SECURITIES, LLC
February 13, 2006 - September 29, 2011
STOUT CAPITAL, LLC
March 4, 2003 - April 4, 2005
LASALLE FINANCIAL SERVICES, INC.
March 4, 2003 - April 4, 2005
LASALLE FINANCIAL SERVICES, INC.
May 17, 2001 - September 10, 2002
HOULIHAN LOKEY CAPITAL, INC.
May 19, 1997 - December 21, 2000
ABN AMRO INCORPORATED
March 5, 1997 - April 14, 1997
A. G. EDWARDS & SONS, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
TCC SECURITIES, LLC
CRD#: 153575 / SEC#: , 8-68553
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CHICAGO CORPORATION | MEMBER | |
| DENISON, THOMAS CRAIG | CEO, CFO, FINOP, CCO, AMLCO, EXECUTIVE REP. | 3167542 |
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.
