Edward M. Carey
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.
Edward Michael Carey, who also goes by Ed Carey, Mike Carey, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1987. Edward had worked at 11 firms and has passed the Series 65, Series 63, SIE, 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
July 28, 2014 - February 3, 2016
BANCWEST INVESTMENT SERVICES, INC.
July 28, 2014 - February 3, 2016
BANCWEST INVESTMENT SERVICES, INC.
January 3, 2014 - July 28, 2014
MSI FINANCIAL SERVICES, INC.
January 3, 2014 - July 28, 2014
MSI FINANCIAL SERVICES, INC.
August 5, 2009 - January 7, 2014
VOYA FINANCIAL ADVISORS, INC.
September 6, 2007 - January 7, 2014
VOYA FINANCIAL ADVISORS, INC.
May 8, 2001 - August 22, 2007
SPECTRUM WEALTH ADVISORS, INC.
May 2, 2001 - August 28, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 28, 1999 - May 3, 2001
SII INVESTMENTS, INC.
January 22, 1999 - July 6, 1999
SUNSET FINANCIAL SERVICES, INC.
November 13, 1996 - December 10, 1998
VOYA FINANCIAL ADVISORS, INC.
January 12, 1995 - December 31, 1995
VOYA FINANCIAL ADVISORS, INC.
March 28, 1991 - January 5, 1995
HIMCO DISTRIBUTION SERVICES COMPANY
August 1, 1989 - January 31, 1991
F & G SECURITIES, INC.
September 23, 1988 - July 13, 1989
MONARCH SECURITIES, INC.
August 3, 1987 - August 8, 1988
WOODBURY 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.
