Leah Ann West

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2023-01-04

NJ RA
APPROVED

Since 2023-01-04

Branch Locations

63B Bridge St, Lambertville, NJ 08530-2115 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

28 Rittenhouse Rd, Stockton, NJ 08559 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Cadaret, Grant & Co. Inc.	Lambertville	NJ	03/2003	01/2023
Rivertown Financial, Llc	Lambertville	NJ	08/2016	Present
Lpl Financial Llc	Lambertville	NJ	01/2023	Present

03/2003 → 01/2023

Cadaret, Grant & Co. Inc.

Lambertville, NJ
08/2016 → Present

Rivertown Financial, Llc

Lambertville, NJ
01/2023 → Present

Lpl Financial Llc

Lambertville, NJ

Previous Registrations

2020-01-03 → 2023-01-05

Cadaret, Grant & Co., Inc.

Blue Bell, PA

Pt. Pleasant Beach, NJ

Wantage, NJ

Point Pleasant, NJ

Lambertville, NJ

Jericho, NY

Syracuse, NY

Syracuse, NY

Other Businesses

1) 11/2022 - Notary / Investment Related / Lambertville, NJ 2) 11/2022 - Rivertown Financial LLC / DBA for LPL Business (entity for LPL business) / Investment Related / Lambertville, NJ 3) 11/2022 - Rivertown Financial / Non-Variable Insurance / Investment Related / Lambertville, NJ 4) 09/21/2023 - Other - FACILITATE ESTATE PLANNING - Not Investment Related - Home Based - Start Date 07/24/2023 - 6 Hours Per Month/ During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-11-22
S63	Uniform Securities Agent State Law Examination	1997-03-05

S66 Uniform Combined State Law Examination

2019-11-22
S63 Uniform Securities Agent State Law Examination

1997-03-05

Other Names

Leah A West

View on SEC IAPD