Daniel K. 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.
Daniel Keith West, who also goes by D. Keith West, Daniel K West, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2003. Daniel had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2014 - January 2, 2018
MCNALLY FINANCIAL SERVICES CORPORATION
May 2, 2014 - January 2, 2018
MCNALLY FINANCIAL SERVICES CORPORATION
July 22, 2010 - February 13, 2014
U.S. BANCORP INVESTMENTS, INC.
July 22, 2010 - February 13, 2014
U.S. BANCORP INVESTMENTS, INC.
June 1, 2009 - May 13, 2010
MORGAN STANLEY
June 1, 2009 - May 13, 2010
MORGAN STANLEY
July 22, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 22, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 30, 2006 - May 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 2006 - May 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2004 - May 1, 2006
WAMU INVESTMENTS, INC.
June 23, 2004 - September 2, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
September 26, 2003 - February 27, 2004
SUNAMERICA SECURITIES, 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
Current Firm
MCNALLY FINANCIAL SERVICES CORPORATION
CRD#: 121196 / SEC#: , 8-65388
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNALLY, DAVID DORN | CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER | 839798 |
Regulatory assets under management
| Total Number of Accounts | 142 |
| AUM (Assets Under Management) | $ 25,149,615 |
Disclosures
| Regulatory Event | 5 |
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.
