Dawn Sheri West

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-01-03
TX	RA	APPROVED_RES	2021-10-11
NJ	RA	APPROVED	2016-02-25

NY RA
APPROVED

Since 2022-01-03
TX RA
APPROVED_RES

Since 2021-10-11
NJ RA
APPROVED

Since 2016-02-25

Branch Locations

133-11 20Th Ave, College Point, NY 11356 • United States

61-49 188Th St, Fresh Meadows, NY 11365 • United States

60-10 Queens Blvd, Woodside, NY 11377 • United States

75-44 Main Street, Kew Gardens, NY 11367 • United States

73-01 Northern Blvd, East Elmhurst, NY 11370 • United States

244-19 Braddock Ave, Bellerose, NY 11426 • United States

106-19 Continental Avenue, Forest Hills, NY 11375 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Jackson Heights	NY	02/2016	Present

02/2016 → Present

Lpl Financial, Llc

Jackson Heights, NY

Previous Registrations

2015-01-28 → 2016-02-23

Capital One Advisors, Llc

Seattle, WA
2011-10-19 → 2015-01-28

Capital One Financial Advisors Llc

Melville, NY

Other Businesses

1. 02/02/2024 - Flagstar Wealth Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 2/2/2024

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-01-03
S65	Uniform Investment Adviser Law Examination	2011-10-07
S63	Uniform Securities Agent State Law Examination	2004-07-02

S66 Uniform Combined State Law Examination

2022-01-03
S65 Uniform Investment Adviser Law Examination

2011-10-07
S63 Uniform Securities Agent State Law Examination

2004-07-02

View on SEC IAPD