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Richard Angus West is a financial advisor professional located in Wenham, MA. They specialize in financial advisory.
Richard Angus West - Rockefeller Capital Management holds an active professional license (FINRA CRD) for your protection.
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Richard Angus West operates Rockefeller Capital Management in Wenham, Massachusetts. He holds a FINRA CRD license (Number 1789569), which governs his activities as a financial advisor. This registration allows him to provide investment advice and manage client portfolios within the framework of federal securities regulations. His practice serves clients seeking professional financial guidance in the region.
A FINRA CRD license indicates that Richard Angus West is registered with the Financial Industry Regulatory Authority, the primary regulator for securities brokers and advisors in the United States. This registration means he has passed required examinations, undergone background checks, and must comply with FINRA rules governing sales practices, client interactions, and record-keeping. The CRD system tracks his licensing status and any disciplinary history. Clients working with a FINRA-registered advisor have access to FINRA's dispute resolution processes and can verify his registration status through public databases.