Susan R. Goodearl
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.
Susan Rae Goodearl, who also goes by Susan R Burton, Susan Rae Burton, Susan R Goodearl, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1984. Susan had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4, Series 14, Series 24 and Series 8 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, 2011 - July 16, 2015
BANCWEST INVESTMENT SERVICES, INC.
March 2, 2011 - July 16, 2015
BANCWEST INVESTMENT SERVICES, INC.
January 21, 2009 - March 3, 2011
BARCLAYS CAPITAL INC.
September 22, 2008 - March 3, 2011
BARCLAYS CAPITAL INC.
May 19, 2004 - October 15, 2008
LEHMAN BROTHERS INC.
July 23, 1999 - September 22, 2008
LEHMAN BROTHERS INC.
June 7, 1994 - July 22, 1999
CREDIT SUISSE SECURITIES (USA) LLC
June 22, 1987 - June 13, 1994
PERSHING LLC
July 25, 1984 - November 25, 1987
LEHMAN BROTHERS INC.
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
Series 8
Date: 8/8/1985
General Securities Sales Supervisor Examination (Options Module & General Module)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.
