Glen Boucher
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.
Glen Boucher, who also goes by Glen Joseph Boucher, was a registered financial professional .
Glen is a previously registered financial professional and started their career in finance in 1989. Glen had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 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
April 2, 2019 - January 9, 2021
BANCWEST INVESTMENT SERVICES, INC.
April 2, 2019 - January 9, 2021
BANCWEST INVESTMENT SERVICES, INC.
July 25, 2016 - April 4, 2019
TD AMERITRADE, INC.
June 30, 2016 - April 4, 2019
TD AMERITRADE, INC.
December 8, 2008 - January 29, 2016
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 14, 2001 - December 4, 2008
ALLSTATE FINANCIAL SERVICES, LLC
November 29, 1996 - February 23, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 1993 - April 8, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 1989 - March 1, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 19, 1989 - March 1, 1991
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.
