Aurielle West has been Chief Compliance Officer of Pacific Capital Wealth Advisors since October 2025, is a control person of the firm and directly owns under 5% of it.
Pacific Capital Wealth Advisors, Inc. is a Corona, CA firm with $821M under management, 78 clients and 6 advisers across 2 offices, as of its September 2026 filing.
- Charles Schwab & Co., Inc.– · 4 yearsBrea, CA · Adviser representative · Firm CRD 5393
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 13 February 2020 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 12 November 2019 |
| Series 66 | Uniform Combined State Law Examination | 11 March 2019 |
| Series 7TO | General Securities Representative Examination | 17 December 2018 |
| SIE | Securities Industry Essentials Examination | 11 October 2018 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 September 2007 |
| Series 7 | General Securities Representative Examination | 21 August 2007 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Aurielle Nichole West
- CRD
- 5285419
- Firm
- Pacific Capital Wealth Advisors · CRD 159294
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Aurielle West work?
Aurielle West has been Chief Compliance Officer of Pacific Capital Wealth Advisors, Inc. since October 2025, and is a control person of the firm.
Does Aurielle West have a current investment-adviser registration?
Aurielle West has no current investment-adviser or broker registration.
What exams has Aurielle West passed?
Aurielle West has passed 7 licensing exams: the Series 7, Series 63, SIE, Series 7TO, Series 66, Series 9 and Series 10. The earliest, the Series 7, was passed in August 2007.
Where was Aurielle West previously registered as an investment adviser?
Aurielle West has past investment-adviser registrations through Charles Schwab & Co., Inc., March 2019 to June 2023, across 1 firm.
Is Aurielle West registered with FINRA?
No. Aurielle West has no current broker registration.
How can I verify Aurielle West’s record?
Search CRD 5285419 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Aurielle West’s full registration record.