DAVID LEE WEST - Investment Adviser at TUCKER ASSET MANAGEMENT LLC

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Detailed ReportReport

DAVID LEE WEST

CRD#: 1948424

Investment Adviser

Previous Broker

TUCKER ASSET MANAGEMENT LLCCRD#: 174844

1367 S. 740 E
Orem, UT 84097

Registration History

Disclosure(s)

View By:

2/4/2010

Employment Separation After Allegations

1/30/2006

Regulatory

Final

License(s)

State Registrations

Utah 12/17/2020

Current Registration(s)

TUCKER ASSET MANAGEMENT LLC (CRD#:174844)

1367 S. 740 E, Orem, UT 84097

Registered with this firm since 12/17/2020

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	10/03/2013 - 12/16/2020	ALPINE CAPITAL MANAGEMENT, LLC (CRD#:132979)	OREM, UT
IA	02/09/2012 - 07/25/2012	ONEAMERICA SECURITIES, INC. (CRD#:4173)	SALT LAKE CITY, UT
B	04/30/2012 - 07/25/2012	ONEAMERICA SECURITIES, INC. (CRD#:4173)	SALT LAKE CITY, UT
IA	10/25/2007 - 02/12/2010	SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296)	OREM, UT
B	10/25/2007 - 02/12/2010	SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296)	OREM, UT
B	11/15/2006 - 10/12/2007	FIRST ALLIED SECURITIES, INC. (CRD#:32444)	OREM, UT
IA	01/06/2005 - 10/11/2007	GREENBOOK INVESTMENT MANAGEMENT, INC. (CRD#:131563)	OREM, UT
B	08/29/2006 - 01/29/2007	GREENBOOK SECURITIES, INC. (CRD#:121447)	SAN DIEGO, CA
IA	05/11/2006 - 06/27/2006	LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978)	SALT LAKE CITY, UT
IA	01/16/2003 - 12/31/2004	XELAN FINANCIAL PLANNING, INC. (CRD#:123794)	OREM, UT
IA	01/01/2002 - 01/16/2003	XELAN INVESTMENT SERVICES, INC. (CRD#:111870)	OREM, UT

ALPINE CAPITAL MANAGEMENT, LLC (CRD#:132979)

OREM, UT

10/03/2013 - 12/16/2020

ONEAMERICA SECURITIES, INC. (CRD#:4173)

SALT LAKE CITY, UT

02/09/2012 - 07/25/2012

ONEAMERICA SECURITIES, INC. (CRD#:4173)

SALT LAKE CITY, UT

04/30/2012 - 07/25/2012

SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296)

OREM, UT

10/25/2007 - 02/12/2010

SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296)

OREM, UT

10/25/2007 - 02/12/2010

FIRST ALLIED SECURITIES, INC. (CRD#:32444)

OREM, UT

11/15/2006 - 10/12/2007

GREENBOOK INVESTMENT MANAGEMENT, INC. (CRD#:131563)

OREM, UT

01/06/2005 - 10/11/2007

GREENBOOK SECURITIES, INC. (CRD#:121447)

SAN DIEGO, CA

08/29/2006 - 01/29/2007

LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978)

SALT LAKE CITY, UT

05/11/2006 - 06/27/2006

XELAN FINANCIAL PLANNING, INC. (CRD#:123794)

OREM, UT

01/16/2003 - 12/31/2004

XELAN INVESTMENT SERVICES, INC. (CRD#:111870)

OREM, UT

01/01/2002 - 01/16/2003

For additional information about investment advisers or broker-dealers, please visit

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Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.