Raymond Salinas
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.
Raymond Salinas, who also goes by Ray Salinas, Raymond Salinas Jr, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1984. Raymond had worked at 6 firms and has passed the 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
May 10, 2014 - September 25, 2014
BANCWEST INVESTMENT SERVICES, INC.
February 11, 2011 - January 10, 2013
EDWARD JONES
February 11, 2011 - January 10, 2013
EDWARD JONES
January 1, 2008 - February 14, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 14, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
December 17, 2002 - January 3, 2008
A. G. EDWARDS & SONS, INC.
December 16, 1998 - December 18, 2002
MORGAN STANLEY DW INC.
March 19, 1986 - December 18, 2002
MORGAN STANLEY DW INC.
June 21, 1984 - January 22, 1986
FORESTERS FINANCIAL SERVICES, 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
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.
