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WD

West S. Durham

SEI INVESTMENTS DISTRIBUTION CO.
Oaks, PA 19456
Some features on this profile are disabled
CRD#: 5029538
WD

Professional summary

West Stafford Durham, who also goes by West Durham, is a registered financial professional currently at SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.

West is registered as a RR (Registered Representative) and started their career in finance in 2005. West has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

West Durham

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) - BD

Click below to view West Stafford Durham'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®
None

Experience

Current

January 27, 2017 - Present

SEI INVESTMENTS DISTRIBUTION CO.

Office #1: One Freedom Valley Drive, Oaks, PA 19456
BD
CRD#: 10690
Oaks, PA
Past

January 3, 2008 - September 30, 2016

SEI INVESTMENTS MANAGEMENT CORP

RIA
CRD#: 105146
APPLE VALLEY, MN
Past

December 7, 2005 - October 12, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DELAND, FL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(1/27/2017)
RR
Minnesota
(12/22/2023)
RR
Pennsylvania
(12/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/2/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/27/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/6/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SEI INVESTMENTS DISTRIBUTION CO.
SEI FINANCIAL SERVICES COMPANY | SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690 / SEC#: , 8-27897

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
One Freedom Valley Drive, Oaks, PA 19456
Mailing Address
One Freedom Valley Drive, Oaks, PA 19456
Phone number
(610) 676-1000
Established
Pennsylvania since 07/20/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SEI INVESTMENTS COMPANYSHAREHOLDER
CAMPISI, JENNIFER HICKMANCHIEF COMPLIANCE OFFICER, ASST SECRETARY5299753
COARY, JOHN PATRICKTREASURER, CFO2551648
CORKERY, HEATHER MAJCZANDIRECTOR6896886
GARCIA, GABRIELDIRECTOR2500963
HUM, ROBERT MDIRECTOR, PRESIDENT, CEO5716140
MCGHIN, JASON MICHAELCOO3119188
MUNCH, JOHN CHARLESSECRETARY, GENERAL COUNSEL4739576

Disclosures

Regulatory Event4

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

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690Oaks, PA 19456

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