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Dana Samuel West

LPL Enterprise, LLC

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About Dana Samuel West

Dana Samuel West is a financial advisor who has been in the industry since 1999. Dana is currently registered with LPL Enterprise, LLC in White Plains, New York. Dana has a broad range of experience in the financial services industry, having previously worked at HSBC Securities (USA) Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, UBS Financial Services Inc., CIBC World Markets Corp., RM Stark & Co Inc., F.L.P. Gilmour and Associates Inc., and J.P. Turner & Company, L.L.C. Dana is registered in several states including California, Colorado, Florida, Maryland, New Jersey, New York, South Carolina, and Virginia.

Firm Information

Dana West is currently registered with LPL Enterprise, LLC. LPL Enterprise, LLC is a Limited Liability Company registered in South Carolina and formed on May 25, 2023. They offer financial planning, educational seminars, portfolio management for individuals and businesses, and other consulting and non-discretionary advisory services. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. They have a total of 55 registered representatives and 12 investment advisor representatives. The firm participates in wrap fee programs.
LPL Enterprise, LLC

1055 LPL WAY

FORT MILL, SC 29715

Not reported

Assets Under Management

Not reported

Total Clients

50

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Dana West’s Registration & Firm History

NY

11/14/2024 - Present

LPL Enterprise, LLC (WHITE PLAINS NY)

NY

06/07/2012 - 11/30/2015

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

06/01/2009 - 06/18/2012

MORGAN STANLEY SMITH BARNEY (NEW YORK NY)

NY

06/22/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NY

02/16/2001 - 07/03/2007

UBS FINANCIAL SERVICES INC. (NEW YORK NY)

NY

09/14/2000 - 03/01/2001

CIBC WORLD MARKETS CORP. (NEW YORK NY)

FL

10/11/1999 - 07/18/2000

RM STARK & CO INC. (LAKE WORTH BEACH FL)

NY

04/28/1999 - 10/12/1999

F.L.P. GILMOUR AND ASSOCIATES INC. (WHITE PLAINS NY)

GA

04/05/1999 - 04/28/1999

J.P. TURNER & COMPANY, L.L.C. (ATLANTA GA)

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Licenses & Designations

BOTH

Issued 07/01/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/21/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/02/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dana Samuel West.
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