Riyad Said
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.
Riyad Said, CPWA®, who also goes by Riyad Michael Said, was a registered financial professional .
Riyad is a previously registered financial professional and started their career in finance in 1992. Riyad had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 31 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
Start date: 2019-03-25
Expire date: 2023-02-28
Experience
October 31, 2019 - April 28, 2022
BANCWEST INVESTMENT SERVICES, INC.
October 9, 2019 - April 28, 2022
BANCWEST INVESTMENT SERVICES, INC.
November 13, 2014 - August 1, 2016
TOTAL ALIGNMENT WEALTH ADVISORS, LLC
July 23, 2014 - August 1, 2016
TA CAPITAL MANAGEMENT, LLC
March 16, 2010 - June 23, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 5, 2010 - June 23, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 24, 2007 - May 5, 2010
ALLIANCEBERNSTEIN L.P.
September 7, 2007 - May 5, 2010
SANFORD C. BERNSTEIN & CO., LLC
October 30, 1996 - November 21, 2001
B. RILEY SECURITIES, INC.
July 6, 1992 - October 22, 1996
QUEST CAPITAL STRATEGIES, 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
Series 7TO
Date: 10/9/2019
General Securities Representative ExaminationCurrent 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.
