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Adrian G. West

NEXTGEN CAPITAL MARKETS
Atlanta, GA 30327
Some features on this profile are disabled
CRD#: 2787363
AW

Professional summary

Adrian Gardiner West is a registered financial professional currently at NEXTGEN CAPITAL MARKETS, LLC located in Atlanta, Georgia.

Adrian is registered as a RR (Registered Representative) and started their career in finance in 1997. Adrian has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adrian Gardiner West's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 3, 2015 - Present

NEXTGEN CAPITAL MARKETS, LLC

Office #1: 3715 Northside Pkwy Nw, Suite 1-250, Atlanta, GA 30327
BD
CRD#: 170421
Atlanta, GA
Past

February 1, 2012 - October 22, 2013

D.A. DAVIDSON & CO.

BD
CRD#: 199
COSTA MESA, CA
Past

December 8, 2006 - March 1, 2012

MCGLADREY CAPITAL MARKETS, LLC

BD
CRD#: 47639
COSTA MESA, CA
Past

June 19, 2002 - April 9, 2003

MCGLADREY CAPITAL MARKETS, LLC

BD
CRD#: 47639
COSTA MESA, CA
Past

December 10, 1997 - July 3, 2000

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/4/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NEXTGEN CAPITAL MARKETS, LLC
NEXTGEN CAPITAL MARKETS, LLC

CRD#: 170421 / SEC#: , 8-69418

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
3715 Northside Pkwy Nw, Ste.,1-250, Atlanta, GA 30327
Mailing Address
3715 Northside Pkwy Nw, Ste.,1-250, Atlanta, GA 30327
Phone number
(678) 648-1602
Established
Georgia since 01/03/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEXTGEN CAPITAL, LLCSOLE MEMBER
BROWN, MICHAEL OWENFINOP / CFO / PFO / PPO1658070
CARY, JOHN FINLEY IICHIEF EXECUTIVE OFFICER / CCO5291677

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.

Company Information

NEXTGEN CAPITAL MARKETS, LLC

CRD#: 170421Atlanta, GA 30327

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