Stephanie Cox
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephanie Cox, who also goes by Stephanie Mary Cox, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1982. Stephanie had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2020 - October 7, 2022
BANCWEST INVESTMENT SERVICES, INC.
January 28, 2020 - October 7, 2022
BANCWEST INVESTMENT SERVICES, INC.
June 19, 2017 - November 8, 2019
WOODBURY FINANCIAL SERVICES, INC.
June 19, 2017 - November 8, 2019
OSAIC SERVICES, INC.
June 19, 2017 - November 8, 2019
OSAIC WEALTH, INC.
June 19, 2017 - November 8, 2019
FSC SECURITIES CORPORATION
July 25, 2016 - September 7, 2016
INVESTMENT CENTERS OF AMERICA, INC.
November 7, 2011 - December 31, 2015
CUSO FINANCIAL SERVICES, L.P.
January 19, 2000 - November 4, 2011
FINTEGRA, LLC
December 17, 1993 - January 7, 2000
CETERA INVESTMENT SERVICES LLC
September 11, 1992 - January 4, 1994
CETERA WEALTH SERVICES, LLC
March 6, 1984 - October 6, 1992
INVEST FINANCIAL CORPORATION
July 8, 1983 - March 14, 1985
DAIN RAUSCHER INCORPORATED
October 28, 1982 - January 19, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BANCWEST INVESTMENT SERVICES, INC.
CRD#: 29357 / SEC#: 801-71300, 8-44261
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO HARRIS BANK N.A. | SOLE SHAREHOLDER | |
| BIEL, ROLLIN LYNN | BWIS VICE PRESIDENT - CHIEF FINANCIAL OFFICER/PFO | 5101711 |
| DUBENDORF, DARIN KEITH | BWIS PRESIDENT/CEO - WMG HEAD OF CLIENT SOLUTIONS | 1692187 |
| HATFIELD, JOHN CALVIN | BWIS VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4272399 |
| PRUITT, JEFFREY PAUL | BWIS VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | 2455635 |
Regulatory assets under management
| Total Number of Accounts | 9,062 |
| AUM (Assets Under Management) | $ 2,024,253,748 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
