Jeffery C. Craddock
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.
Jeffery Conrad Craddock was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 1992. Jeffery had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2011 - December 10, 2015
BANCWEST INVESTMENT SERVICES, INC.
June 24, 2011 - December 10, 2015
BANCWEST INVESTMENT SERVICES, INC.
July 31, 2006 - May 27, 2011
CETERA WEALTH SERVICES, LLC
June 14, 2006 - May 27, 2011
CETERA WEALTH SERVICES, LLC
October 17, 2000 - March 31, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
September 12, 2000 - March 31, 2006
IDS LIFE INSURANCE COMPANY
September 12, 2000 - March 31, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 29, 1999 - July 26, 2000
BANCWEST INVESTMENT SERVICES, INC.
April 8, 1994 - April 6, 1999
MUTUAL SECURITIES, INC.
January 1, 1992 - January 22, 1993
IDS LIFE INSURANCE COMPANY
January 1, 1992 - January 22, 1993
AMERIPRISE FINANCIAL SERVICES, 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.
