Dave M. Kato
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.
Dave Mitsuaki Kato, who also goes by Dave Mitsauki Kato, David Mitsauki Kato, was a registered financial professional .
Dave is a previously registered financial professional and started their career in finance in 1987. Dave had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 53, Series 51 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
January 15, 2008 - February 11, 2013
BANCWEST INVESTMENT SERVICES, INC.
March 29, 1999 - February 11, 2013
BANCWEST INVESTMENT SERVICES, INC.
May 30, 1996 - April 6, 1999
MUTUAL SECURITIES, INC.
January 16, 1996 - June 5, 1996
IFMG SECURITIES, INC.
August 29, 1995 - December 11, 1995
FIRST INTERSTATE INVESTMENTS,INC.
January 14, 1993 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
September 9, 1987 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
September 9, 1987 - January 7, 1993
MONY SECURITIES CORPORATION
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.
