William R. 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.
William Richard West, who also goes by Bill West, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1994. William had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 8 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
December 9, 2004 - August 31, 2006
FORTA FINANCIAL GROUP, INC.
June 1, 2001 - April 10, 2003
CITIGROUP GLOBAL MARKETS INC.
February 27, 2001 - April 10, 2003
CITIGROUP GLOBAL MARKETS INC.
December 6, 1999 - February 9, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 31, 1995 - April 26, 1999
CHARLES SCHWAB & CO., INC.
October 25, 1994 - September 12, 1995
PARAMOUNT INVESTMENTS INTERNATIONAL, INC.
August 26, 1994 - October 24, 1994
CHATFIELD DEAN & 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 8
Date: 8/1/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORTA FINANCIAL GROUP, INC.
CRD#: 28784 / SEC#: 801-113100, 8-43930
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
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.
