Terry D. Thomas
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.
Terry David Thomas was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1988. Terry had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2009 - March 28, 2013
BANCWEST INVESTMENT SERVICES, INC.
February 6, 2009 - March 28, 2013
BANCWEST INVESTMENT SERVICES, INC.
November 1, 2002 - February 18, 2009
WELLS FARGO INVESTMENTS, LLC
October 4, 2002 - February 18, 2009
WELLS FARGO INVESTMENTS, LLC
July 26, 2001 - October 8, 2002
WELLS FARGO CLEARING SERVICES, LLC
July 21, 2000 - October 8, 2002
WELLS FARGO CLEARING SERVICES, LLC
December 22, 1997 - July 24, 2000
KFS BD, INC.
June 3, 1996 - January 1, 1998
MERCANTILE INVESTMENT SERVICES, INC.
October 24, 1995 - June 7, 1996
J.P. SECURITIES, INC.
August 1, 1994 - November 21, 1995
FIRSTIER SECURITIES, INC.
February 20, 1991 - August 24, 1994
INVESTMENT CENTERS OF AMERICA, INC.
January 17, 1990 - April 12, 1991
CITISTREET EQUITIES LLC
April 12, 1988 - January 19, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 12, 1988 - January 19, 1990
PRUCO SECURITIES, LLC.
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.
