Warren Henry West
Professional Summary
Warren Henry West, who also goes by Warren H West, was a registered financial advisor. Warren was a previously registered financial advisor and started their career in finance 1999 - 2021. Warren had worked at 4 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 24, Series 28, Series 53 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Warren H West
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
AUTOSHARES | TRADEPRO SECURITIES,INC. | TRADEPRO SECURITIES, LLC. | TRADEPRO SECURITIES, INC. | SOUTHERN TRUST SECURITIES, INC. | SOUTHERN TRUST SECURITIES ASSET MANAGEMENT, INC. | PEAK EXECUTION SERVICES | CIS ASSET MANAGEMENT, INC | CAPITAL INVESTMENT SERVICES, INC.
Contact Information
Main Address
340 Congress Parkway,, Lawrenceville, GA 30044Mailing Address
340 Congress Parkway,, Lawrenceville, GA 30044Phone Number
(305) 446-4800Established
Florida since 06/10/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jun 2024About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jun 2024About the Series 52TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jun 2024About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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