David E. 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.
David Elliott West, who also goes by David E West, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2005. David had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2006 - September 10, 2024
MARINER INSTITUTIONAL, LLC
August 18, 2005 - January 31, 2006
BURGESS CHAMBERS & ASSOCIATES INC
Primary Firm SEC Registration
MARINER INSTITUTIONAL, LLC
CRD#: 111964 / SEC#: 801-58253
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
MARINER INSTITUTIONAL, LLC
CRD#: 111964 / SEC#: 801-58253
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 64 |
| AUM (Assets Under Management) | $ 2,543,100,000 |
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.
