Kurt A. Mcdonald
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.
Kurt Alan Mcdonald, who also goes by Kurt A Mcdonald, was a registered financial professional .
Kurt is a previously registered financial professional and started their career in finance in 1996. Kurt had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 4 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
January 8, 2018 - July 2, 2021
BANCWEST INVESTMENT SERVICES, INC.
January 8, 2018 - July 2, 2021
BANCWEST INVESTMENT SERVICES, INC.
November 21, 2012 - December 18, 2017
ARBOR POINT ADVISORS
August 24, 2006 - December 18, 2017
SECURITIES AMERICA ADVISORS, INC.
August 23, 2006 - December 18, 2017
SECURITIES AMERICA, INC.
April 22, 2006 - June 19, 2006
TD AMERITRADE, INC.
February 20, 2003 - July 24, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 2, 2002 - April 22, 2006
TD AMERITRADE CLEARING, INC.
November 15, 2001 - December 31, 2001
J.P. SECURITIES, INC.
March 22, 1996 - December 31, 2001
ACCUTRADE 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/29/2003
Limited Representative-Equity Trader ExamCurrent 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.
