Caitlin M. West

THE ASCENT GROUP

HILLSBOROUGH, NJ

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CRD#: 5037781

Professional summary

Caitlin M West, CFP®, who also goes by Caitlin M West, Caitlin Melissa West, Caitlin West, is a registered financial advisor currently at THE ASCENT GROUP, LLC located in Hillsborough, New Jersey and OSAIC WEALTH, INC. located in Virginia Beach, Virginia.

Caitlin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Caitlin has worked at 13 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caitlin M West | Caitlin Melissa West | Caitlin 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.

1)The Ascent Group, LLC;Investment related: yes; 192 Ballard Court, Virginia Beach, VA 23462; Nature or Structure of Business: LLC; Position: Director of RIA Operations; Start date: 12/31/2021; hours per month: 240; securities trading hours 130; Duties: operations management and platform administration 2) Rutgers University;Investment related: no; 227 Penn Street, Camden, NJ 08102; Nature or Structure of Business: Rutgers, The State University of New Jersey; Position: Non-Academic Co-Chair; Start date: 07/15/2023; hours per month: 1; securities trading hours 0; Duties: Two-year term ending June 30, 2025. The primary responsibilities of the Non-Academic Co-Chair are to review the agenda and minutes of advisory board meetings and lead a review of the Academic Co-Chair's performance at the end of his or her term

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caitlin M West's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Experience

Current

June 22, 2022 - Present

THE ASCENT GROUP, LLC

RIA

CRD#: 314424

HILLSBOROUGH, NJ

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 192 Ballard Court Suite 400, Virginia Beach, VA 23462

RIA

CRD#: 23131

Virginia Beach, VA

Past

February 2, 2023 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Virginia Beach, VA

Past

March 24, 2021 - January 14, 2022

JOURNEY STRATEGIC WEALTH LLC

RIA

CRD#: 310648

SUMMIT, NJ

Past

September 27, 2019 - February 4, 2021

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PT. PLEASANT BEACH, NJ

Past

July 13, 2018 - March 6, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

May 1, 2018 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

Wayne, NJ

Past

April 23, 2018 - March 5, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WAYNE, NJ

Past

January 9, 2018 - February 12, 2018

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

New York, NY

Past

January 3, 2018 - February 12, 2018

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

NEW YORK, NY

Past

June 16, 2017 - August 18, 2017

VANDERBILT SECURITIES, LLC

CRD#: 5953

Edison, NJ

Past

August 17, 2016 - November 16, 2017

GITTERMAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 153062

Edison, NJ

Past

February 24, 2015 - June 22, 2017

TRIAD ADVISORS LLC

CRD#: 25803

Edison, NJ

Past

October 3, 2008 - June 15, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

October 3, 2008 - June 15, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

Past

August 15, 2007 - September 3, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

July 9, 2007 - September 3, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

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".

THE ASCENT GROUP, LLC

CRD#: 314424 / SEC#: 801-121182

RIA

Registered Investment Advisory firm - (5/10/2021 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.

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

IAR

New Jersey
(6/22/2022)

New Jersey
(8/23/2024)

Virginia
(8/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/30/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/24/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THE ASCENT GROUP, LLC

CRD#: 314424 / SEC#: 801-121182

RIA

Registered Investment Advisory firm - (5/10/2021 Approved)

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Contact information

Main Address

192 Ballard Court Suite 400, Virginia Beach, VA 23462

Mailing Address

Phone number

(757) 499-8300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR THE ASCENT GROUP, LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts	7,304
AUM (Assets Under Management)	$ 4,933,296,606

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.

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Advisor Monitoring

Firm Stability Insights

Caitlin M. West

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caitlin M West's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

JOURNEY STRATEGIC WEALTH LLC

M HOLDINGS SECURITIES, INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

VANDERBILT SECURITIES, LLC

GITTERMAN WEALTH MANAGEMENT, LLC

TRIAD ADVISORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

THE ASCENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2015

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 2/24/2015

FINRA

Current Firm

THE ASCENT GROUP, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE ASCENT GROUP, LLC

TRUST BUT VERIFY

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