Robin R. Hawley
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.
Robin Ruth Hawley, who also goes by Robin Ruth Cole, Robin Ruth Nichols, was a registered financial professional .
Robin is a previously registered financial professional and started their career in finance in 1987. Robin had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 24 and Series 4 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, 2011 - August 28, 2012
BANCWEST INVESTMENT SERVICES, INC.
July 11, 2011 - August 28, 2012
BANCWEST INVESTMENT SERVICES, INC.
November 20, 2008 - June 10, 2011
AXOS CLEARING LLC
July 3, 2008 - November 13, 2008
TD AMERITRADE, INC.
July 17, 2006 - August 2, 2007
NATIONAL INVESTOR SERVICES CORP.
January 11, 2005 - July 3, 2008
TD AMERITRADE CLEARING, INC.
December 1, 1993 - February 21, 1995
BANKOH INVESTMENT SERVICES, INC.
October 28, 1993 - December 14, 1993
MORGAN STANLEY DW INC.
December 3, 1987 - February 26, 1992
TD AMERITRADE CLEARING, 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.
