Troy S. Lettau
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.
Troy Shawn Lettau was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1987. Troy had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2008 - March 11, 2015
BANCWEST INVESTMENT SERVICES, INC.
May 17, 2006 - March 11, 2015
BANCWEST INVESTMENT SERVICES, INC.
February 7, 2001 - May 17, 2006
CETERA INVESTMENT SERVICES LLC
January 25, 2001 - February 7, 2001
INVEST FINANCIAL CORPORATION
August 21, 1997 - July 12, 2000
COMPULIFE INVESTOR SERVICES, INC.
July 26, 1995 - June 4, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 1993 - July 21, 1995
U.S. BANCORP INVESTMENTS, INC.
September 14, 1990 - January 27, 1993
MORGAN STANLEY DW INC.
May 21, 1987 - October 18, 1990
BLINDER, ROBINSON & CO., 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.
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