Benjamin M. 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.
Benjamin Michael West, who also goes by Benjamin West, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2001. Benjamin had worked at 5 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2019 - July 9, 2021
NATIONAL FINANCIAL SERVICES LLC
February 16, 2016 - January 15, 2019
FIDELITY DISTRIBUTORS CORPORATION
February 12, 2016 - January 15, 2019
FIDELITY DISTRIBUTORS COMPANY LLC
January 20, 2012 - August 3, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
March 16, 2011 - November 22, 2011
FIDELITY DISTRIBUTORS CORPORATION
June 4, 2004 - November 17, 2011
FIDELITY DISTRIBUTORS COMPANY LLC
March 15, 2001 - June 4, 2004
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/6/2024
General Securities Representative ExaminationSeries 52TO
Date: 3/6/2024
Municipal Securities Representative ExaminationCurrent Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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