Bradley W. Ughetta
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.
Bradley William Ughetta, AIF® was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1987. Bradley had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2011 - May 12, 2023
BANCWEST INVESTMENT SERVICES, INC.
August 9, 2011 - May 12, 2023
BANCWEST INVESTMENT SERVICES, INC.
January 25, 2010 - December 23, 2010
MORGAN STANLEY
January 22, 2010 - December 23, 2010
MORGAN STANLEY
August 10, 2009 - February 2, 2010
WELLS FARGO INVESTMENTS, LLC
August 10, 2009 - February 2, 2010
WELLS FARGO INVESTMENTS, LLC
January 12, 2007 - May 5, 2009
WELLS FARGO INVESTMENTS, LLC
January 12, 2007 - May 5, 2009
WELLS FARGO INVESTMENTS, LLC
February 16, 2005 - December 7, 2006
MORGAN STANLEY DW INC.
January 10, 2002 - December 7, 2006
MORGAN STANLEY DW INC.
June 12, 2001 - September 7, 2001
WEALTHPLACE SECURITIES LLC
March 14, 1997 - April 10, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 1988 - February 11, 1997
LEHMAN BROTHERS INC.
November 25, 1987 - April 11, 1988
E. F. HUTTON & COMPANY 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
Series 8
Date: 10/25/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
