Caitlin M West
How is this counted?
Counted from the earlier of the person's first job or first state securities exam on their SEC record (currently the Series 63, 65 or 66). The SIE, futures exams and earlier firm registrations are not counted. The count runs to the end of their latest job, or this year if a job is still open. It includes every employer listed, even outside investment work, and any gaps between jobs. The SEC record lists jobs held in about the last 10 years, so jobs that ended before then are not counted. Years are counted by calendar year, so the figure can run up to a year high. This is not a measure of skill or quality.
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Services the firm offers
These describe the firm as a whole, not only this advisor.
Experience
13 years since the first job or state securities exam on the SEC record. Counts all jobs listed.
- Osaic Wealth, Inc.Aug 2024 to now
- The Ascent Group, LLCDec 2021 to now
- Journey Strategic Wealth LLCFeb 2021 to Dec 2021
- KB Financial Partners, LLCSep 2019 to Feb 2021
- M Holdings Securities, Inc.Sep 2019 to Jan 2021
- Fidelity Personal and Workplace AdvisorsJul 2018 to Sep 2019
- Fidelity Brokerage Services LLCMar 2018 to Sep 2019
- First Republic Investment Management, Inc.Jan 2018 to Feb 2018
- First Republic Securities Company, LLCJan 2018 to Feb 2018
- Demeter Professional Advisors GroupSep 2017 to Dec 2017
- Gitterman Wealth Management, LLCJun 2013 to Aug 2017
Exams passed
- Series 66 · Uniform Combined State Law2015
State registrations
Registered as an investment adviser representative in 1 state (NJ).
The Ascent Group, LLC
Official records
Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- 5037781
- 314424