Randy R. Van Winkle
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.
Randy Ray Van Winkle, who also goes by Randy Van Winkle, Randy Ray Vanwinkle, was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1995. Randy had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 3, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2011 - September 25, 2013
BANCWEST INVESTMENT SERVICES, INC.
August 16, 2011 - September 25, 2013
BANCWEST INVESTMENT SERVICES, INC.
June 28, 2010 - August 26, 2011
U.S. BANCORP INVESTMENTS, INC.
June 28, 2010 - August 26, 2011
U.S. BANCORP INVESTMENTS, INC.
June 22, 2009 - June 16, 2010
CHASE INVESTMENT SERVICES CORP.
June 22, 2009 - June 16, 2010
CHASE INVESTMENT SERVICES CORP.
November 30, 2005 - June 16, 2009
WELLS FARGO INVESTMENTS, LLC
November 4, 2005 - June 16, 2009
WELLS FARGO INVESTMENTS, LLC
February 28, 2003 - November 21, 2003
TD AMERITRADE, INC.
October 3, 1997 - December 31, 2002
CHARLES SCHWAB & CO., INC.
June 17, 1997 - August 19, 1997
U.S. BANCORP INVESTMENTS, INC.
April 10, 1995 - June 19, 1997
CITIGROUP GLOBAL MARKETS 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.
