Dana S. West
LPL ENTERPRISE
White Plains, NY 10601
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CRD#: 3165037
Professional summary
Dana Samuel West, CFP® is a registered financial advisor currently at LPL ENTERPRISE, LLC located in White Plains, New York.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dana has worked at 10 firms and has passed the Series 66, Series 63, 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.
1) 10/03/2024 - Binghamton University Alumni Association- Westchester Chapter - Leading a regional chapter of Binghamton University Alumni Association - Non-profit volunteer (not on board) - Non Inv Related - At White Plains, NY - Start Date - 06/01/2017 - 10hrs/mth - 0hrs/mth During Trading 2) 10/03/2024 - Binghamton University Alumni Association - Active voluntary board member of the Binghamton University Alumni Association - Non-Profit Board Member - Non Inv Related - At White Plains, NY - Start Date 07/01/2019 - 10hrs/mth - 0hrs/mth During Trading 3) 10/03/2024 - BSA Scouts USA (Greater Hudson Valley Council) - Volunteer positions in my Son's Boy Scout Troop - Non-profit volunteer (not on board) - Non Inv Related - At White Plains, NY - Start Date 09/01/2022 - 10hrs/mth - 0hrs/mth During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Dana Samuel West's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dana Samuel West's 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®
CFP®
Start date: 2023
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 360 Hamilton Ave 9th Floor, White Plains, NY 10601RIA
BD
CRD#: 8733
White Plains, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 360 Hamilton Ave 9th Floor, White Plains, NY 10601RIA
BD
CRD#: 8733
White Plains, NY
Past
June 7, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
White Plains, NY
Past
November 18, 2015 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
White Plains, NY
Past
June 7, 2012 - November 30, 2015
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
June 7, 2012 - November 30, 2015
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
June 1, 2009 - June 18, 2012
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 1, 2009 - June 18, 2012
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
July 2, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NEW YORK, NY
Past
June 22, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
February 16, 2001 - July 3, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
September 14, 2000 - March 1, 2001
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
October 11, 1999 - July 18, 2000
R.M. STARK & CO., INC.
BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past
April 28, 1999 - October 12, 1999
EWEALTH SECURITIES, INC.
BD
CRD#: 25589
WHITE PLAINS, NY
Past
April 5, 1999 - April 28, 1999
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.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(11/14/2024)
RR
Colorado(11/14/2024)
RR
Florida(11/15/2024)
RR
Maryland(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
South Carolina(11/14/2024)
RR
Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
