Richard 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.
Richard Woods West, who also goes by Dick West, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 11 firms and has passed the Series 63, Series 16, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1999 - December 5, 2000
WIN CAPITAL CORP.
April 29, 1994 - May 21, 1998
LADENBURG CAPITAL MANAGEMENT INC.
November 17, 1992 - April 19, 1994
DEUTSCHE IXE, LLC
December 18, 1990 - June 1, 1992
REICH & CO., INC.
July 30, 1990 - December 7, 1990
CIBC WOOD GUNDY SECURITIES CORP.
July 20, 1989 - July 12, 1990
RAYMOND JAMES & ASSOCIATES, INC.
March 2, 1989 - June 3, 1989
CIBC WOOD GUNDY SECURITIES CORP.
September 18, 1987 - January 14, 1989
NATWEST SECURITIES CORPORATION
July 24, 1986 - September 9, 1987
ADVEST, INC.
August 5, 1985 - May 1, 1986
MONTGOMERY SECURITIES
May 22, 1974 - May 6, 1983
BRITTINGHAM, INC.
November 20, 1973 - April 30, 1974
DELAWARE MANAGEMENT COMPANY, INC.
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
Series 1
Date: 9/6/1969
Registered Representative ExaminationSeries 00
Date: 11/19/1973
General Securities Principal ExaminationCurrent Firm
WIN CAPITAL CORP.
CRD#: 36172 / SEC#: , 8-47174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KSH TRADING LLC | OWNER | |
| BAYERN, STEVEN JAY | CHAIRMAN, DIRECTOR | 15379 |
| KOLENIK, PATRICK MICHAEL | PRESIDENT, DIRECTOR | 810813 |
| ABLAMSKY, JOHN THOMAS | CFO/SECRETARY/TREASURER/FINOP | 2466780 |
| KOHN, HARVEY RICHARD | DIRECTOR | 817501 |
| QUIGLEY, WILLIAM MICHAEL | COMPLIANCE DIRECTOR | 1968265 |
| SUCOFF, CARY WILLIAM | DIRECTOR | 1156732 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
