Bradley D. Buenconsejo
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.
Bradley Dain Buenconsejo, who also goes by Bradley Buenconsejo, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1998. Bradley had worked at 5 firms and has passed the Series 66, Series 63, 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
March 29, 2012 - June 2, 2020
BANCWEST INVESTMENT SERVICES, INC.
February 24, 2012 - June 2, 2020
BANCWEST INVESTMENT SERVICES, INC.
October 23, 2009 - July 15, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 15, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 3, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 16, 2004 - December 17, 2004
WELLS FARGO INVESTMENTS, LLC
February 13, 2004 - December 17, 2004
WELLS FARGO INVESTMENTS, LLC
January 28, 2000 - March 4, 2003
BANCWEST INVESTMENT SERVICES, INC.
December 7, 1999 - January 19, 2000
NEW ENGLAND SECURITIES
March 5, 1998 - December 31, 1998
NEW ENGLAND SECURITIES
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: 7/1/2022
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.
