Arcwood Financial, LLC

Transcription

1 This brochure supplement provides information about Shawn West that supplements the brochure. You should have received a copy of that brochure. Please contact Shawn West if you did not receive s brochure or if you have any questions about the contents of this supplement. Additional information about Shawn West is also available on the SEC s website at Form ADV Part 2B Individual Disclosure Brochure for Shawn Jerome West Personal CRD Number: Investment Adviser Representative 3033 N. Central Ave. Suite 810 Phoenix, AZ (602) shawn@arcwoodfinancial.com UPDATED: 05/31/2017

2 Item 2: Educational Background and Business Experience Name: Shawn Jerome West Born: 1972 Educational Background and Professional Designations: Education: Southern Illinois University Studied Psychology, Bachelor of Arts program Elgin Community College Associate of Arts Designations: AIF Accredited Investment Fiduciary Fiduciary 360 (fi360) provides fiduciary education; professional designations and support; and analytical, reporting and client management technology which are designed to support the fi360 Prudent Practices. The Accredited Investment Fiduciary (AIF) designation is designed to educate investment fiduciaries on fi360 s Prudent Practices, their legal underpinnings and how to apply them within existing fiduciary policies and procedures. The AIF Training curriculum is offered in distance education or a blended learning option to suit each student s needs. Each format culminates in the 60 question AIF examination, which must be passed with 75% correct answers in order to file for the AIF designation. After passing the exam, a student wishing to file for the AIF Designation must submit the accreditation application and accreditation fee. In order to earn and maintain the AIF Designation, individuals must also fulfill the following requirements: Meet prerequisite requirements through a sufficient combination of experience, education, licensing, and/or industry credentials. Attest to the AIF Code of Ethics. Comply with the AIF qualification and conduct standards. Accrue six hours of continuing professional education each renewal year with at least four coming from fi360-produced sources. Maintain current contact information in fi360 s designee database.

3 QPFC - Qualified Plan Financial Consultant QPFC is the professional credential for financial professionals who sell, advise, market or support qualified retirement plans. The QPFC program provides an understanding of general retirement planning concepts, terminology, distinctive features of qualified plans and the role of retirement plan professionals. QPFC is not an entry-level credential. A candidate will be expected to demonstrate a general proficiency of plan administration, compliance, investment, fiduciary, and ethics issues. Earning ASPPA s QPFC credential requires successful completion of the Plan Financial Consulting Parts 1 and 2 examinations, in addition to other licensing and/or demonstration of retirement plan related experience requirements. Business Background: 07/ Present Member 07/ Present Registered Representative United Planners Financial Services 11/ Present Member KNH Capital, LLC 01/2005 Present Managing Member Trillium Consulting Group. LLC 12/ /2013 Partner Olivastro, LLC (Retail Store) 09/ /2014 Registered Representative Paychex Securities Corporation 12/ / k/ASO/ PEO - District Manager & Representative Paychex, Inc. Item 3: Disciplinary Information In 1998, while being questioned during a traffic stop, Shawn J. West was accused of not giving correct personal identifying information to the law enforcement personnel. He was subsequently found not guilty of misdemeanor charges of making a false report to police.

4 Item 4: Other Business Activities Shawn J. West is a representative of United Planners Financial Services. From time to time, he will offer clients advice or products from those activities. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. always acts in the best interest of the client, including with respect to the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of in such individual s outside capacity. Mr. West is also a member of KNH Capital, LLC, which was formed to purchase and hold certain real estate investments. Clients are not solicited to invest in or through KNH Capital, LLC and it is not believed that any conflict of interest exists with respect to Mr. West s involvement in KNH Capital, LLC activities. Mr. West is also a member of Trillium Consulting Group, LLC, which was formed to purchase, hold and rent certain real estate investments. Clients are not solicited to invest in or through Trillium Consulting Group, LLC and it is not believed that any conflict of interest exists with respect to Mr. West s involvement in Trillium Consulting Group, LLC activities. Item 5: Additional Compensation Shawn J. West does not receive any economic benefit from any person, company, or organization, other than in exchange for providing clients advisory services through. Item 6: Supervision As the Chief Compliance Officer of Arcwood Financial, Brandon T. Oliver supervises all duties and activities of the firm, including those of Mr. West. Mr. Smith may be contacted at the firm s contact information on the cover page of this disclosure document. Shawn J. West adheres to all required regulations regarding the activities of an Investment Adviser Representative and follows all policies and procedures outlined in the firm s policies and procedures manual, including the Code of Ethics, and appropriate securities regulatory requirements.

5 Item 7: Requirements For State Registered Advisers This disclosure is required by Arizona state securities authorities and is provided for your use in evaluating this investment advisor representative s suitability. A. Shawn J. West has NOT been involved in any of the events listed below. 1. An award or otherwise being found liable in an arbitration claim alleging damages in excess of $2,500, involving any of the following: a) an investment or an investment-related business or activity; b) fraud, false statement(s), or omissions; c) theft, embezzlement, or other wrongful taking of property; d) bribery, forgery, counterfeiting, or extortion; or e) dishonest, unfair, or unethical practices. 2. An award or otherwise being found liable in a civil, self-regulatory organization, or administrative proceeding involving any of the following: a) an investment or an investment-related business or activity; b) fraud, false statement(s), or omissions; c) theft, embezzlement, or other wrongful taking of property; d) bribery, forgery, counterfeiting, or extortion; or e) dishonest, unfair, or unethical practices. B. Shawn J. West has NOT been the subject of a bankruptcy petition in the past ten years.