Mr. West has thirty-five years of Securities Industry experience, seven as a producing Financial Advisor and twenty-eight as a Branch Office Manager and Supervisor. Since his retirement in 2009, Mr. West has been engaged in over four hundred matters involving disputes in the Securities Industry and has been accepted as an expert by Arbitration Panels and Federal and State Courts and testified in over eighty cases.
2009 - Present West Consulting, LLC - Litigation support and expert testimony for Securities Industry disputes; management consulting and compliance consulting
1998 - 2009 Wachovia Securities (Wells Fargo Advisors) and predecessors1
Senior Vice President and Complex Manager. Responsible for supervision, compliance and sales management for ninety-one financial advisors in seven locations in Tennessee, Mississippi and Arkansas.
1983 - 1998 Prudential Securities- First Vice President and Branch Manager. Responsible for supervision, compliance and sales management for forty-five advisors.
1982- 1983 R. Rowland & Co. - Vice President and Branch Manager. Responsible for supervision, compliance and sales management of ten financial advisors.
1979 - 1982 Paine Webber - Financial Advisor 1974 - 1979 E.F. Hutton & Co. - Financial Advisor
1972 - 1973 Graduate School of Business- Memphis State University- Teaching Assistant 1964 - 1971 United States Air Force - US, Europe and Viet Nam
1 EVEREN Securities was acquired by First Union Bank in 1999. First Union Bank merged with Wachovia Bank in 2001. Wachovia Bank was acquired by Wells Fargo Bank 2009.
1973 Memphis State University, Masters level classes in Economics- no degree 1972 University of Tampa, B.S. Business Administration
Series 1 General Securities-Series 7 equivalent Series 3 Commodities and Futures
Series 5 Interest Rate Options
Series 8 Branch Supervision Qualification - Series 9/10 equivalent Series 15 Foreign Currency Options
Series 63 Uniform State Agent Law
Series 65 Registered Investment Advisor Qualification Life Insurance - Tennessee
Variable and Fixed Annuities
Mortgage lender qualification- Mississippi
FINRA Arbitrator, including experience as panel chairperson NASD District Business Conduct Committee
Securities Industry and Financial Markets Association (SIFMA) Past President, Memphis Securities Dealers Association
Past President, Memphis Grain and Hay (Memphis Board of Trade Affiliate) Executive committee member, Branch Manager Advisory Council – multiple years Branch Manager Advisory Council- multiple years
Two-time panelist at SIFMA Annual Seminar on branch office supervision Panelist at FINRA District Five regional meeting on branch office supervision Volunteer Hearing Officer CFP Board Disciplinary and Ethics Commission
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Sales Practices |
Raiding |
Registered Investment Advisor issues |
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Suitability |
Recruiting |
Insurance/Annuities |
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Supervision |
U-4 and U-5 issues |
Fee Based Accounts, Mutual Funds |
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Operations |
Employment |
Equities, Options and Fixed Income |
Revised August 12, 2021
2 *All licenses and registrations are inactive. FINRA requires requalification if registrations are inactive for two years.