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RIA / WealthAdvisorChartered Financial Consultant30 years in industry

DAVID LEE WEST

Advisor at TUCKER ASSET MANAGEMENT LLC

LITTLETON, CO | Orem, UT

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Search this name across graphsid dfx:ria:e56b393b-d064-1650-1427-9b4b2c00fd2f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TUCKER ASSET MANAGEMENT LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S63|S65
First exam: Feb 17, 1998
First registration: Jan 1, 2002
Dual registered: no
IAPD individual key: 1948424

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TUCKER ASSET MANAGEMENT LLC	Independent wealth	Dec 17, 2020	n/a	yes	Orem, UT\|LITTLETON, CO	Current employment
ALPINE CAPITAL MANAGEMENT, LLC	n/a	Oct 3, 2013	Dec 16, 2020	no	OREM, UT	Previous registration
ONEAMERICA SECURITIES, INC.	Bd affiliated wealth	Feb 9, 2012	Jul 25, 2012	no	SALT LAKE CITY, UT	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Oct 25, 2007	Feb 12, 2010	no	OREM, UT\|OREM, UT\|OGDEN, UT\|OREM, UT	Previous registration
OSAIC FA, INC.	Former SEC adviser	May 11, 2006	Jun 27, 2006	no	SALT LAKE CITY, UT	Previous registration
GREENBOOK INVESTMENT MANAGEMENT, INC.	n/a	Jan 6, 2005	Oct 11, 2007	no	OREM, UT\|OREM, UT	Previous registration
XELAN FINANCIAL PLANNING, INC.	n/a	Jan 16, 2003	Dec 31, 2004	no	OREM, UT	Previous registration
XELAN INVESTMENT SERVICES, INC.	n/a	Jan 1, 2002	Jan 16, 2003	no	OREM, UT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALPINE CAPITAL MANAGEMENT, LLC	TUCKER ASSET MANAGEMENT LLC	Dec 16, 2020	Dec 17, 2020	1	Firm change	Other
ONEAMERICA SECURITIES, INC.	ALPINE CAPITAL MANAGEMENT, LLC	Jul 25, 2012	Oct 3, 2013	435	Firm change after gap	Other
SECURIAN FINANCIAL SERVICES, INC.	ONEAMERICA SECURITIES, INC.	Feb 12, 2010	Feb 9, 2012	727	Firm change after gap	Other
GREENBOOK INVESTMENT MANAGEMENT, INC.	OSAIC FA, INC.	Oct 11, 2007	May 11, 2006	-518	Firm change after gap	Other
OSAIC FA, INC.	SECURIAN FINANCIAL SERVICES, INC.	Jun 27, 2006	Oct 25, 2007	485	Firm change after gap	Other
XELAN FINANCIAL PLANNING, INC.	GREENBOOK INVESTMENT MANAGEMENT, INC.	Dec 31, 2004	Jan 6, 2005	6	Firm change	Other
XELAN INVESTMENT SERVICES, INC.	XELAN FINANCIAL PLANNING, INC.	Jan 16, 2003	Jan 16, 2003	0	Firm change	Other

Relationships

Registered with (8)

→ TUCKER ASSET MANAGEMENT LLCRegistered adviserregistration: current employment
Dec 17, 2020 to presentfactForm ADV
→ ALPINE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 3, 2013 to Dec 16, 2020factForm ADV
→ ONEAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Feb 9, 2012 to Jul 25, 2012factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 25, 2007 to Feb 12, 2010factForm ADV
→ GREENBOOK INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 6, 2005 to Oct 11, 2007factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
May 11, 2006 to Jun 27, 2006factForm ADV
→ XELAN FINANCIAL PLANNING, INC.Registered adviserregistration: previous registration
Jan 16, 2003 to Dec 31, 2004factForm ADV
→ XELAN INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 1, 2002 to Jan 16, 2003factForm ADV

Dated events

No dated event names this entity yet.