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DW

Desmoine D. West

Some features on this profile are disabled
CRD#: 4647041
DW

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.

Desmoine Delancey West, who also goes by Desimond Delancey West, was a registered financial professional .

Desmoine is a previously registered financial professional and started their career in finance in 2011. Desmoine had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 31, Series 7, Series 14, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Desimond Delancey West

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 5, 2018 - December 31, 2023

PHASE ONE FINANCIAL SERVICES, LLC

BD
CRD#: 290317
NEW YORK, NY
Past

December 12, 2013 - March 7, 2018

STONEHAVEN, LLC

BD
CRD#: 118913
NEW YORK, NY
Past

July 8, 2013 - November 26, 2013

RIVERROCK SECURITIES, LLC

BD
CRD#: 153178
NEW YORK, NY
Past

February 15, 2013 - July 5, 2013

MORGAN CREEK CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 154377
NEW YORK, NY
Past

May 28, 2012 - February 12, 2013

STONEHAVEN, LLC

BD
CRD#: 118913
NEW YORK, NY
Past

June 23, 2011 - April 13, 2012

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/17/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/22/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 10/9/2014
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/7/2017
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/17/2017
General Securities Principal Examination

Current Firm

PO
PHASE ONE FINANCIAL SERVICES, LLC
PHASE ONE FINANCIAL SERVICES, LLC

CRD#: 290317 / SEC#: , 8-70028

BD
Terminated by SEC on 01/01/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/08/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PHASE ONE ENTERPRISES, LLCSHAREHOLDER
WEST, DESMOINE DELANCEYCEO/CCO/CFO4647041

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.

Company Information

PHASE ONE FINANCIAL SERVICES, LLC

CRD#: 290317

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