Jacey B. West

WESTEND CAPITAL MANAGEMENT.

Sausalito, CA 94965

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CRD#: 6877243

Professional summary

Jacey Brianne West, who also goes by Jacey West, is a registered financial advisor currently at WESTEND CAPITAL MANAGEMENT, LLC. located in Sausalito, California.

Jacey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Jacey has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jacey 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacey Brianne 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

June 21, 2023 - Present

WESTEND CAPITAL MANAGEMENT, LLC.

Office #1: One Harbor Drive Suite 300, Sausalito, CA 94965

RIA

CRD#: 120545

Sausalito, CA

Past

December 16, 2020 - February 21, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Reno, NV

Past

June 30, 2020 - February 21, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Reno, NV

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".

WESTEND CAPITAL MANAGEMENT, LLC.

WESTEND CAPITAL LLC | WESTEND CAPITAL MANAGEMENT, LLC.

CRD#: 120545 / SEC#: 801-61128

RIA

Registered Investment Advisory firm - (5/10/2002 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

California
(6/21/2023)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/15/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/30/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/16/2019

Securities Industry Essentials Examination

Current Firm

WESTEND CAPITAL MANAGEMENT, LLC.

WESTEND CAPITAL LLC | WESTEND CAPITAL MANAGEMENT, LLC.

CRD#: 120545 / SEC#: 801-61128

RIA

Registered Investment Advisory firm - (5/10/2002 Approved)

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Contact information

Main Address

One Harbor Drive Suite 300, Sausalito, CA 94965

Mailing Address

Po Box 29528, San Francisco, CA 94129

Phone number

(415) 856-0426

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTEND CAPITAL MANAGEMENT, LLC BROCHURE PART 2A (4/8/2025)

Regulatory assets under management

Total Number of Accounts	392
AUM (Assets Under Management)	$ 348,134,070

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/28/2023	Cover Page	Report

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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Jacey B. West

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacey Brianne West's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTEND CAPITAL MANAGEMENT, LLC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

WESTEND CAPITAL MANAGEMENT, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/15/2020

Series 7TO

Date: 6/30/2020

SIE

Date: 9/16/2019

Current Firm

WESTEND CAPITAL MANAGEMENT, LLC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WESTEND CAPITAL MANAGEMENT, LLC.

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