Robert W. 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.
Robert William West, who also goes by Bob West, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2001. Robert had worked at 5 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2017 - April 4, 2019
ARIA WEALTH MANAGEMENT
September 3, 2013 - December 31, 2017
CONCERT WEALTH MANAGEMENT
September 25, 2006 - September 4, 2013
AMERICAN WEALTH MANAGEMENT, INC.
April 10, 2003 - September 4, 2013
AMERICAN WEALTH MANAGEMENT, INC.
March 3, 2003 - April 24, 2003
EQUITABLE ADVISORS, LLC
August 14, 2001 - November 27, 2002
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
ARIA WEALTH MANAGEMENT
CRD#: 288450 / SEC#: 801-110703
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
ARIA WEALTH MANAGEMENT
CRD#: 288450 / SEC#: 801-110703
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 616 |
| AUM (Assets Under Management) | $ 122,757,930 |
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.
