Kent L. 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.
Kent Leroy West, who also goes by Kent L West, was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 1998. Kent had worked at 5 firms and has passed the Series 65, 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
April 3, 2014 - June 16, 2015
AVANTAX ADVISORY SERVICES
April 3, 2014 - June 16, 2015
AVANTAX INVESTMENT SERVICES, INC.
October 15, 2012 - May 28, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2012 - May 28, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
November 28, 2011 - March 8, 2012
WADDELL & REED
November 28, 2011 - March 8, 2012
WADDELL & REED
February 19, 2002 - November 28, 2011
AVANTAX ADVISORY SERVICES
September 24, 1998 - November 28, 2011
AVANTAX INVESTMENT SERVICES, INC.
January 16, 1998 - September 11, 1998
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
