Peter T. Wang
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.
Peter Tsu-hsin Wang, who also goes by Peter Tsu Shin Wang, Peter Tsuhsin Wang, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2017 - May 23, 2018
BANCWEST INVESTMENT SERVICES, INC.
August 21, 2017 - May 23, 2018
BANCWEST INVESTMENT SERVICES, INC.
September 12, 2014 - August 22, 2017
TRANSGLOBAL ADVISORY, LLC
August 7, 2012 - August 22, 2017
GLOBALINK SECURITIES, INC.
November 16, 2010 - July 25, 2012
BANCWEST INVESTMENT SERVICES, INC.
November 15, 2010 - July 25, 2012
BANCWEST INVESTMENT SERVICES, INC.
June 11, 2009 - November 10, 2010
CHASE INVESTMENT SERVICES CORP.
June 10, 2009 - November 10, 2010
CHASE INVESTMENT SERVICES CORP.
January 14, 2008 - September 30, 2008
CETERA INVESTMENT SERVICES LLC
January 10, 2008 - September 30, 2008
CETERA INVESTMENT SERVICES LLC
May 17, 2002 - December 19, 2003
PRUCO SECURITIES, LLC.
December 8, 1997 - March 4, 2002
CHARLES SCHWAB & CO., 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.
