Philip A. Kendis
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.
Philip Antoine Kendis, who also goes by Philip A Kendis, Philip Antoine Kendis, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2007. Philip had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 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 13, 2018 - July 23, 2021
BANCWEST INVESTMENT SERVICES, INC.
March 9, 2018 - July 23, 2021
BANCWEST INVESTMENT SERVICES, INC.
June 1, 2016 - March 5, 2018
VALIC FINANCIAL ADVISORS, INC.
May 24, 2016 - March 5, 2018
VALIC FINANCIAL ADVISORS, INC.
December 18, 2014 - April 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 28, 2014 - April 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2014 - October 7, 2014
EQUITABLE ADVISORS, LLC
April 3, 2008 - June 29, 2012
SANTANDER INTERNATIONAL SECURITIES, INC.
January 25, 2007 - March 15, 2007
KBC SECURITIES USA 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.
