Leslie A. Bennett
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.
Leslie Ann Bennett, who also goes by Leslie A Bennett, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1991. Leslie had worked at 8 firms and has passed the 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
September 19, 2012 - September 12, 2013
BANCWEST INVESTMENT SERVICES, INC.
September 19, 2012 - September 12, 2013
BANCWEST INVESTMENT SERVICES, INC.
April 30, 2008 - May 14, 2012
BANCWEST INVESTMENT SERVICES, INC.
March 29, 1999 - May 14, 2012
BANCWEST INVESTMENT SERVICES, INC.
March 24, 1998 - April 6, 1999
MUTUAL SECURITIES, INC.
August 19, 1996 - March 31, 1998
WELLS FARGO SECURITIES INC.
September 6, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
February 20, 1995 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
January 31, 1991 - October 11, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 31, 1991 - October 11, 1994
EQUITABLE VARIABLE LIFE INSURANCE COMPANY
January 31, 1991 - October 11, 1994
EQUITABLE ADVISORS, 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.
