Darin Keith Dubendorf
Professional Summary
Darin Keith Dubendorf was a registered financial advisor. Darin was a previously registered financial professional and started their career in finance 1998 - 2023. Darin had worked at 5 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
BANCWEST INVESTMENT SERVICES, INC. | CENTRAL FIDELITY SECURITIES, INC. | CENTRAL FIDELITY INVESTMENT SERVICES, INC. | BWC INVESTMENT SERVICES, INC. | BANCWEST INVESTMENT SERVICES, INC. DBA FIRST HAWAIIAN INVESTMENT SERVICES | BANCWEST INVESTMENT SERVICES, INC. (BWIS) AND BWIS D/B/A FHIS | BANCWEST INVESTMENT SERVICES, INC. (BWIS)
Contact Information
Main Address
13220 California Street 2nd Floor, Omaha, NE 68154-9750Phone Number
(800) 338-3919Established
Delaware since 06/13/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
369Documents
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
9,062AUM (Assets Under Management)
$2,024,253,748Disclosures
Regulatory Event
1Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2023 | Cover Page | Report |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1996About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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