John M. West
SPRAKER WEST WEALTH MANAGEMENT,
Winter Park, FL 32789
Some features on this profile are disabled
CRD#: 4653084
Professional summary
John Mitchell West III, CFP® is a registered financial advisor currently at SPRAKER WEST WEALTH MANAGEMENT, INC located in Winter Park, Florida.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. John has worked at 4 firms and has passed the Series 7 exam.
Biography
As an Advisor of the firm, John’s primary focus is to partner with clients through hands on financial planning, risk profile assessment, and portfolio management. With the Investment Committee, he helps design and implement financial planning and portfolio investment strategies that meet each client’s individual needs. John has over 10 years years experience in the industry. Prior to joining the firm he was a Financial Analyst and Portfolio Manager for a hedge fund and has over 20 years of personal investing experience.
As Chief Operating Officer of the firm, John coordinates and supervises the daily client work among the staff and assists Susan with Corporate Accounting and Strategic Planning. As Chief Compliance Officer, John is responsible for the firm meeting all compliance requirements of the SEC.
John earned a Finance degree from Stetson University in DeLand, FL. He minored in Business Law and Information Systems. He received his MBA from the University of Florida and in September 2012 completed all the requirements for CFP® certification. He is also a member of the Financial Planning Association (FPA) and The National Association of Personal Financial Advisors (NAPFA) for fee-only advisors.
John is a true Floridian, growing up “on the water” in Southwest Florida. At age 10, he learned to sail and competed in races all over the state. Years later during weekends and summers, he taught children and adults, including the handicapped, how to sail. Other hobbies include tennis, golf, running, and building homes with Habitat for Humanity. John is on the Board of Directors of our local Orlando service organization, Community Food & Outreach Center, and serves on the Executive Committee.
Question & Answer
What are your service offerings?
Tax Planning
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
Do you have an area of expertise or specialization?
Estate & Generational Planning...
High Net Worth Client Needs
Investment Advice with Ongoing...
Retirement Planning & Distribu...
Tax Planning
What is your minimum asset requirement?
1
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Mitchell West III'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: 2012
Experience
Current
March 20, 2014 - Present
SPRAKER WEST WEALTH MANAGEMENT, INC
Office #1: 334 W. Morse Blvd., Winter Park, FL 32789RIA
CRD#: 147075
Winter Park, FL
Past
June 17, 2008 - December 8, 2008
PARKER FINANCIAL CORP.
BD
CRD#: 42140
VALLEY COTTAGE, NY
Past
November 17, 2006 - March 13, 2007
HEDGE FUND CAPITAL PARTNERS, LLC
BD
CRD#: 113326
BROOKLYN, NY
Past
July 22, 2003 - December 6, 2004
MILLENNIUM BROKERAGE, L.L.C.
BD
CRD#: 47728
CHATHAM, NJ
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".
SPRAKER WEST WEALTH MANAGEMENT, INC
SPRAKER WEALTH MANAGEMENT INC | SPRAKER WEST WEALTH MANAGEMENT, INC
CRD#: 147075 / SEC#: 801-69187
RIA
Registered Investment Advisory firm - (5/21/2008 Approved)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.Highlighted states indicate IAR registrations
IAR
Florida(5/13/2014)
IAR
Texas(3/20/2014)
Exams
General Industry/Product Exam
Current Firm
SPRAKER WEST WEALTH MANAGEMENT, INC
SPRAKER WEALTH MANAGEMENT INC | SPRAKER WEST WEALTH MANAGEMENT, INC
CRD#: 147075 / SEC#: 801-69187
RIA
Registered Investment Advisory firm - (5/21/2008 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
334 W. Morse Blvd., Winter Park, FL 32789
Mailing Address
Phone number
(407) 478-7899
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 476 |
| AUM (Assets Under Management) | $ 249,466,930 |
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.
