Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Sheri West is a financial advisor with LPL Financial LLC. Dawn has been in the financial services industry since 2004. Dawn holds the Series 6, 7, 63, 65, and 66 licenses. Dawn is registered with the states of New York, New Jersey and Texas. Previously, Dawn was registered with Capital One Investment Services LLC and Greenpoint Securities LLC.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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NY
10/11/2021 - Present
LPL Financial LLC (KEW GARDENS NY)
NY
01/02/2015 - 02/23/2016
CAPITAL ONE INVESTING, LLC (FLORAL PARK NY)
NY
01/03/2005 - 01/02/2015
CAPITAL ONE INVESTMENT SERVICES LLC (FLORAL PARK NY)
NY
06/07/2004 - 01/03/2005
GREENPOINT SECURITIES LLC (LAKE SUCCESS NY)
BOTH
Issued 01/03/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/07/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2010
Series 7 - General Securities Representative Examination
BC
Issued 06/06/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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