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Current Employers
West Financial Advisors, L.L.C.

111 East Grand, Suite 412, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2018-10-11
  • IA RA
    APPROVED
    Since 2018-10-11

Branch Locations

111 East Grand, Suite 412, Des Moines, IA 50309 • 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
OrganizationCityStateFromTo
Voya Financial Advisors Des Moines IA 07/2017 10/2018
Vision Financial Group Des Moines IA 07/2017 10/2018
Heart Of Iowa Marketplace West Des Moines IA 04/2017 Present
West Financial Advisors Des Moines IA 11/2012 07/2017
West Financial Advisors, L.L.C. Des Moines IA 10/2018 Present
  • 07/2017 → 10/2018
    Voya Financial Advisors
    Des Moines, IA
  • 07/2017 → 10/2018
    Vision Financial Group
    Des Moines, IA
  • 04/2017 → Present
    Heart Of Iowa Marketplace
    West Des Moines, IA
  • 11/2012 → 07/2017
    West Financial Advisors
    Des Moines, IA
  • 10/2018 → Present
    Des Moines, IA
Previous Registrations
Other Businesses

THE HEART OF IOWA MARKET PLACE; No; 2115 5TH ST; WEST DES MOINES; IA; 50265; RETAIL; SALES ASSOCIATE; 4/1/2017; 10; 0; CUSTOMER SALES, CREATE GIFT BASKETS, STOCK MERCHANDISE.|

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2018-04-02
  • S63 Uniform Securities Agent State Law Examination
    2018-04-02
Designations

View on SEC IAPD

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