Dennis Smith
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.
Dennis Smith, who also goes by N. Dennis Smith, Norman Dennis Smith, Dennis Smith, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2016 - June 7, 2021
BANCWEST INVESTMENT SERVICES, INC.
February 22, 2016 - June 7, 2021
BANCWEST INVESTMENT SERVICES, INC.
August 1, 2012 - December 14, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - December 14, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
April 20, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
September 28, 2011 - April 18, 2012
M&I INVESTMENT MANAGEMENT CORP.
November 11, 2010 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
February 11, 2010 - November 4, 2010
BANCWEST INVESTMENT SERVICES, INC.
February 5, 2007 - July 27, 2009
FARMERS FINANCIAL SOLUTIONS, LLC
December 13, 2004 - December 15, 2006
NEW ENGLAND SECURITIES
June 21, 2000 - January 3, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
April 6, 1983 - April 22, 1999
PRUCO SECURITIES, LLC.
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.
