Randall WestCRD Number: 1263988
Current Firm: Schwab Private Client Investment Advisory, Inc.
Randall West (CRD# 1263988) is an Investment Advisor Representative working at Schwab Private Client Investment Advisory, Inc. in Orlando, FL and has over 33 years of experience in the finance industry. Randall West has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Alconbury Trust L.l.c
|Charles Schwab & Company, Inc.||Orlando, FL||Aug 2015 - Current||1|
|Schwab Private Client Investment Advisory, Inc.||Orlando, FL||Aug 2015 - Current||1|
|Retirement Wealth Advisors, Inc.||Jenison, MI||May 2014 - Aug 2015||1|
|Talon Wealth Managment||The Villages, FL||Jan 2013 - Aug 2015||2|
|Epic Financial||The Villages, FL||Jan 2013 - Aug 2015||2|
|The O.n. Equity Sales Company||Cincinnati, OH||Dec 2011 - May 2014||2|
|Ohio National Financial Services||Cincinnati, OH||Oct 2011 - May 2014||2|
|Ing Financial Partners, Inc.||Summerfield, FL||Nov 2010 - Dec 2011||1|
|Raymond James Financial Services, Inc.||Mount Dora, FL||Mar 2007 - Nov 2010||3|
|Self Employed||Apopka, FL||Jan 2006 - Mar 2007||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1984|
|S65||NASAA Investment Advisors Law Examination||Dec 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management67,823MILLIONS
Total Number of Accounts155,246ACCOUNTS
Average Account Value$436,876
- Financial planning services
- Portfolio management for individuals and/or small businesses
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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