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JW

James T. West

DORSEY, WRIGHT & ASSOCIATES
Richmond, VA 23230
Some features on this profile are disabled
CRD#: 6848660
JW

Professional summary

James Thomas West is a registered financial advisor currently at DORSEY, WRIGHT & ASSOCIATES, LLC located in Richmond, Virginia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. James has worked at 1 firm and has passed the Series 3 exam.

top-8-questions

Question & Answer

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas 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®
None

Experience

Current

October 5, 2017 - Present

DORSEY, WRIGHT & ASSOCIATES, LLC

Office #1: 3300 W Leigh Street, Richmond, VA 23230
RIA
CRD#: 104925
Richmond, VA

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".
DW
DORSEY, WRIGHT & ASSOCIATES, LLC
DORSEY WRIGHT & ASSOCIATES | NASDAQ DORSEY WRIGHT | DORSEY, WRIGHT & ASSOCIATES, LLC | DORSEY, WRIGHT & ASSOCIATES, INC. | DORSEY WRIGHT MONEY MANAGEMENT

CRD#: 104925 / SEC#: 801-29045

RIA
Registered Investment Advisory firm - (3/6/1987 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
Virginia
(10/5/2017)

Exams

General Industry/Product Exam
RR
Series 3
Date: 10/24/2017
National Commodity Futures Examination

Current Firm

DW
DORSEY, WRIGHT & ASSOCIATES, LLC
DORSEY WRIGHT & ASSOCIATES | NASDAQ DORSEY WRIGHT | DORSEY, WRIGHT & ASSOCIATES, LLC | DORSEY, WRIGHT & ASSOCIATES, INC. | DORSEY WRIGHT MONEY MANAGEMENT

CRD#: 104925 / SEC#: 801-29045

RIA
Registered Investment Advisory firm - (3/6/1987 Approved)
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Contact information

Main Address
3300 W Leigh Street, Richmond, VA 23230
Mailing Address
Phone number
(804) 320-8511
Established
Firm type
Fiscal year end
# of Employees
25

SEC notice filing (48 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts815
AUM (Assets Under Management)$ 755,135,613

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

DORSEY, WRIGHT & ASSOCIATES, LLC

CRD#: 104925Richmond, VA 23230

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