Angela R. Reynolds
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.
Angela Rene Reynolds was a registered financial professional .
Angela is a previously registered financial professional and started their career in finance in 2000. Angela had worked at 16 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2018 - October 7, 2020
BANCWEST INVESTMENT SERVICES, INC.
October 3, 2018 - October 7, 2020
BANCWEST INVESTMENT SERVICES, INC.
September 24, 2018 - October 4, 2018
FNEX CAPITAL, LLC
January 17, 2018 - October 11, 2018
CAPITAL MANAGEMENT SERVICES, INC.
May 18, 2015 - September 9, 2016
GLOBAL ATLANTIC DISTRIBUTORS, LLC
October 17, 2012 - May 27, 2015
CETERA ADVISORS LLC
October 17, 2012 - May 27, 2015
CETERA WEALTH SERVICES, LLC
October 16, 2012 - May 27, 2015
CETERA INVESTMENT SERVICES LLC
October 15, 2010 - May 27, 2015
CETERA INVESTMENT ADVISERS LLC
October 15, 2010 - May 27, 2015
CETERA FINANCIAL SPECIALISTS LLC
January 13, 2010 - September 30, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
January 11, 2010 - September 30, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
December 2, 2008 - February 18, 2009
PUTNAM INVESTMENT MANAGEMENT, LLC
July 29, 2008 - February 18, 2009
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
May 15, 2006 - June 10, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 17, 2005 - February 16, 2006
EQUITABLE DISTRIBUTORS, LLC
October 4, 2002 - October 19, 2005
EVERLAKE DISTRIBUTORS, LLC
July 17, 2000 - October 4, 2002
AFD, 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: 1/1/2023
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.
