Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen West is a registered representative at Principal Securities, Inc. Stephen has been in the financial services industry since June 2012. Stephen has a Series 6, Series 7, Series 24 and Series 66 license. Stephen is a member of the Financial Industry Regulatory Authority (FINRA) and has passed the Securities Industry Essentials Examination (SIE). Stephen provides financial planning, portfolio management for individuals, and portfolio management for businesses to clients, including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. Stephen is also an owner of West Drone Service 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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
10/30/2014 - Present
Principal Securities, Inc. (DES MOINES IA)
BOTH
Issued 10/24/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/19/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2014
Series 7 - General Securities Representative Examination
BC
Issued 06/22/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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