Dennis Mark West

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2010 → Present
  Lpl Financial Llc
  Ft. Thomas, KY

Previous Registrations

• 2003-01-14 → 2010-01-11
  Strategic Advisers Llc
  Blue Ash, OH

Other Businesses

1. 02/04/2010: West Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 2/20/2018 - No Business Name - Investment Related - At Reported Business Location - Other-Notary - Start Date:2/14/2018 - 1 Hour Per Month/0 Hours During Trading. 3. 2/14/2019 - Kidney Associates - Investment Related - 20 North Grand Ave, Suite 2 - Real Estate Rental - Started 05/01/2018 - 2 Hours Per Month/0 Hours During Securities Trading - Leasing to Kidney Associates.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-09
• S63 Uniform Securities Agent State Law Examination
  1994-02-28

Designations

• Certified Financial Planner