Thomas G. Carr
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.
Thomas George Carr was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE, 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
January 7, 2009 - January 23, 2020
BANCWEST INVESTMENT SERVICES, INC.
January 5, 2009 - January 23, 2020
BANCWEST INVESTMENT SERVICES, INC.
November 1, 2006 - December 19, 2008
COMERICA SECURITIES
October 31, 2006 - December 19, 2008
COMERICA SECURITIES
July 6, 2006 - September 25, 2006
COUNTRYWIDE INVESTMENT SERVICES, INC.
August 17, 2005 - April 7, 2006
BROOKSTREET SECURITIES CORPORATION
May 15, 2001 - January 21, 2005
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - January 21, 2005
WELLS FARGO INVESTMENTS, LLC
July 15, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
March 28, 1995 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
December 20, 1994 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
August 13, 1994 - December 31, 1994
WELLS FARGO SECURITIES INC.
March 18, 1994 - September 21, 1994
ESSEX NATIONAL SECURITIES, LLC
June 22, 1990 - March 21, 1994
AEGON USA SECURITIES 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
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.
