Broker Check

Elizabeth P. Sampson, CFP® and Richard J. West, CMFC®
Offering individualized financial
& investment planning services

(781)404-7009    (978)206-2375

Richard J. West, CMFC®

Richard J. West, CMFC®

Partner

Rick West has eighteen years of professional financial industry experience.  He has taught financial seminars on technical analysis (the method of evaluating securities and financial markets by analyzing statistics generated by market activity), written a financial newsletter, and has held a Commodity Trading Advisor Series 3 License (a license he no longer holds, NFA ID: 0409843) while operating a commodity trading firm.  He has also served in the role of Directing Manager of Trading and Analytics for a currency trading company. Rick became a financial advisor with Waddell & Reed in 2009, and began assisting his clients with their comprehensive financial and retirement planning  – providing them with dedicated, objective and experienced guidance in their quest to reach their financial goals.

Since joining Waddell & Reed, Rick has been a recipient of their Circle of Champions award in 2013, 2014, 2016, 2017 & 2018 and their prestigious Crest and Advisor Medalist awards in 2017 & 2018. In 2014, 2016, 2017 and 2018, Rick received Waddell & Reed's Excellence in Financial Planning award; and in 2015, received the firm's Financial Planning Career Milestone award for having completed more than 100 financial plans for his clients.* 

In February 2015, Rick earned the Chartered Mutual Fund CounselorSM (CMFC®) designation from the College of Financial Planning. To obtain the CMFC® designation, recipients complete a strenuous course that encompasses the various aspects of mutual funds and their uses as investment vehicles. Recipients are required to exhibit a high-degree of competence in integrating complex and theoretical mutual fund concepts into real-life situations. Designees are also required to adhere to a high Standard of Professional Conduct and must continue with bi-annual continuing education courses, further reaffirming their adherence to the required Standards of Professional Conduct and knowledge of the subject material.  

In 2018, Rick became a member of the Million Dollar Round Table (MDRT), at the "Top of the Table" tier. MDRT members demonstrate exceptional professional knowledge, strict ethical conduct and outstanding client service. MDRT membership is recognized internationally as the standard of excellence in the life insurance and financial services business.

Rick holds the Series 7 and Series 66 licenses, as well as Life, Accident & Health Insurance licenses, and serves clients in AL, AZ, CA, CT, DC, FL, GA, HI, IN, MA, MD, ME, MI, MO, NC, NH, NJ, NV, NY, OR, PA, RI, TN, TX, VA, VT, WI & WV. He is also an active member of the Financial Services Institute (FSI).

Rick has been happily married since 1992 to Nancy Shohet West, a Boston Globe feature and independent memoir writer. They reside in Carlisle, Massachusetts with their much-loved children, Tim and Holly. In his spare time Rick is an avid Boston sports fan, enjoys traveling and long drives, takes joy in home maintenance projects and yard work, and serves as a board member for Grow A Strong Family Inc., a non-profit organization that provides customized family life education services for families affected by mental health issues.

Retirement is not in the near-term plans for Rick, particularly with two college-aged children; but when asked at a recent business conference how he’d like to be remembered by his clients after he does retire, his response … “That they could always trust that I was there for them.”

 

  

MDRT is an independent membership association of insurance and financial services professionals. Membership is based on annual sales production requirements and other factors. Richard J. West qualified for the MDRT in 2018. For more information regarding membership requirements please visit www.mdrt.org.

 

Awards are presented annually by Waddell & Reed and are based on an analysis of investments, insurance and financial planning sales generated by the advisor. For additional information regarding the awards and dates received, please contact the advisor.  

Waddell & Reed is not affiliated with any other entities referenced.  06/19