John M. West

FLATROCK WEALTH PARTNERS LLC

Newport Beach, CA 92660

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CRD#: 2967088

Professional summary

John Michael West is a registered financial advisor currently at FLATROCK WEALTH PARTNERS LLC located in Newport Beach, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. John has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view John Michael 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

June 23, 2022 - Present

FLATROCK WEALTH PARTNERS LLC

Office #1: 1301 Dove Street Suite 910, Newport Beach, CA 92660

RIA

CRD#: 321777

Newport Beach, CA

Past

February 11, 2021 - May 12, 2021

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

Newport Beach, CA

Past

August 28, 2000 - June 7, 2006

VERUS ADVISORY, INC.

RIA

CRD#: 110565

EL SEGUNDO, CA

Past

January 14, 1998 - October 31, 2005

SPRING STREET SECURITIES, INC.

CRD#: 19825

SEATTLE, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FLATROCK WEALTH PARTNERS LLC

CRD#: 321777 / SEC#: 801-130991

RIA

Registered Investment Advisory firm - (8/26/2024 Approved)

Arizona

Registered Investment Advisory firm - (8/29/2024 Terminated)

California

Registered Investment Advisory firm - (9/28/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/23/2022)

IAR

Texas
(6/7/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/18/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/8/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/11/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/26/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/1998

General Securities Representative Examination

Current Firm

FLATROCK WEALTH PARTNERS LLC

CRD#: 321777 / SEC#: 801-130991

RIA

Registered Investment Advisory firm - (8/26/2024 Approved)

Arizona

Registered Investment Advisory firm - (8/29/2024 Terminated)

California

Registered Investment Advisory firm - (9/28/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2024 Terminated)

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Contact information

Main Address

1301 Dove Street Suite 910, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 687-2615

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FLATROCK DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/18/2025)

Regulatory assets under management

Total Number of Accounts	306
AUM (Assets Under Management)	$ 232,393,872

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.

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Advisor Monitoring

Firm Stability Insights

John M. West

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael West's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

VERUS ADVISORY, INC.

SPRING STREET SECURITIES, INC.

Primary Firm SEC Registration

FLATROCK WEALTH PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/18/2021

Series 65

Date: 8/8/2000

Series 7TO

Date: 2/11/2021

SIE

Date: 8/26/2020

Series 7

Date: 1/13/1998

Current Firm

FLATROCK WEALTH PARTNERS LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FLATROCK WEALTH PARTNERS LLC

TRUST BUT VERIFY

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