Richard M. Kenton
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.
Richard Mason Kenton was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2010 - May 9, 2014
BANCWEST INVESTMENT SERVICES, INC.
August 3, 2010 - May 9, 2014
BANCWEST INVESTMENT SERVICES, INC.
April 12, 2007 - February 11, 2009
CETERA INVESTMENT SERVICES LLC
April 2, 2007 - February 11, 2009
CETERA INVESTMENT SERVICES LLC
December 7, 2005 - March 19, 2007
WELLS FARGO INVESTMENTS, LLC
September 8, 2005 - March 19, 2007
WELLS FARGO INVESTMENTS, LLC
December 2, 2004 - September 6, 2005
WELLS FARGO INVESTMENTS, LLC
May 12, 2004 - November 24, 2004
TD AMERITRADE CLEARING, INC.
January 28, 2002 - November 26, 2002
MORGAN STANLEY DW INC.
November 2, 2001 - November 26, 2002
MORGAN STANLEY DW INC.
January 9, 1991 - November 13, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 1988 - January 11, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 19, 1988 - January 11, 1991
PRUCO SECURITIES, LLC.
March 16, 1987 - September 16, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 7, 1986 - September 16, 1988
EQUITABLE ADVISORS, LLC
March 10, 1986 - October 7, 1986
AMERITAS INVESTMENT COMPANY, LLC
October 24, 1984 - March 7, 1986
PIPER SANDLER & CO.
April 10, 1984 - November 9, 1984
UBS FINANCIAL SERVICES INC.
January 16, 1984 - March 4, 1985
EN SOF SECURITIES CORPORATION
September 30, 1983 - November 4, 1983
B.C. CHRISTOPHER SECURITIES CO.
June 9, 1983 - July 19, 1983
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.
