Dana West is a registered investment advisor at LPL Enterprise, LLC, based in Cortlandt Manor, NY, with 26 years of industry experience. Dana operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
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Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
Cortlandt Manor, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Dana volunteers with the Binghamton University Alumni Association (both a regional chapter and the main association) and BSA Scouts USA. These activities are not investment-related and take a few hours per week each.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
LPL Enterprise, LLC
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Hsbc Securities (USA) INC.Broker
Hsbc Securities (USA) INC.
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
UBS Financial Services INC.Broker
Cibc World Markets CORP.Broker
Rm Stark & CO INC.Broker
F.L.P. Gilmour and Associates INC.Broker
J.P. Turner & Company, L.L.C.Broker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.