Warren H. West
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Warren Henry West, who also goes by Warren H West, was a registered financial advisor .
Warren is a previously registered financial advisor and started their career in finance in 1999. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2019 - April 27, 2021
TRADEPRO SECURITIES, LLC.
January 20, 2010 - October 13, 2010
GREENTREE INVESTMENT PARTNERS, LLC
August 31, 2007 - December 31, 2009
GREENTREE GLOBAL ADVISORS, INC.
July 15, 1999 - August 29, 2017
GREENTREE BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/27/2024
General Securities Representative ExaminationSeries 79TO
Date: 6/27/2024
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 6/27/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 6/27/2024
Operations Professional ExaminationSeries 28
Date: 6/27/2024
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TRADEPRO SECURITIES, LLC.
CRD#: 103781 / SEC#: , 8-52282
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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