Michael J. Riddle
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.
Michael Joseph Riddle was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 8 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
March 6, 2009 - February 11, 2013
BANCWEST INVESTMENT SERVICES, INC.
February 9, 2009 - February 11, 2013
BANCWEST INVESTMENT SERVICES, INC.
November 1, 2002 - September 12, 2008
WELLS FARGO INVESTMENTS, LLC
October 4, 2002 - September 12, 2008
WELLS FARGO INVESTMENTS, LLC
July 13, 2000 - October 8, 2002
WELLS FARGO CLEARING SERVICES, LLC
May 22, 2000 - October 8, 2002
WELLS FARGO CLEARING SERVICES, LLC
May 1, 1996 - May 23, 2000
KFS BD, INC.
February 5, 1992 - April 19, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 11/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
