R 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.
R John West III, who also goes by R John III West, was a registered financial professional .
R is a previously registered financial professional and started their career in finance in 1993. R had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2015 - August 3, 2020
WEALTH MANAGEMENT SOLUTIONS
November 5, 2015 - December 31, 2017
MUTUAL SECURITIES, INC.
June 19, 2012 - November 24, 2015
THE WHARTON ADVISORY GROUP, LLC
June 15, 2012 - November 10, 2015
LPL FINANCIAL LLC
March 3, 2011 - March 28, 2014
MARKET STREET WEALTH MANAGEMENT
March 2, 2011 - June 18, 2012
USA FINANCIAL SECURITIES LLC
November 11, 2003 - March 2, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
April 5, 1993 - March 2, 2011
THRIVENT INVESTMENT MANAGEMENT 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
WEALTH MANAGEMENT SOLUTIONS
CRD#: 264793 / SEC#: 801-106607
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,803 |
| AUM (Assets Under Management) | $ 388,877,348 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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