Todd W. Rinn
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.
Todd W Rinn, who also goes by Todd William Rinn, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1998. Todd had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, 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
June 20, 2019 - August 24, 2023
BANCWEST INVESTMENT SERVICES, INC.
June 19, 2019 - August 31, 2023
BANCWEST INVESTMENT SERVICES, INC.
November 1, 2006 - October 30, 2018
UBS FINANCIAL SERVICES INC.
October 31, 2006 - October 30, 2018
UBS FINANCIAL SERVICES INC.
January 18, 2006 - October 18, 2006
KEY INVESTMENT SERVICES LLC
January 18, 2006 - October 18, 2006
KEY INVESTMENT SERVICES LLC
May 26, 2005 - January 18, 2006
KEYBANC CAPITAL MARKETS INC.
May 26, 2005 - January 18, 2006
KEYBANC CAPITAL MARKETS INC.
December 1, 2004 - March 10, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 24, 2003 - November 26, 2004
UBS FINANCIAL SERVICES INC.
September 24, 2003 - November 26, 2004
UBS FINANCIAL SERVICES INC.
March 29, 2001 - July 11, 2005
STRATEGIC ADVISERS LLC
April 2, 1998 - September 10, 2003
FIDELITY BROKERAGE SERVICES 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
Series 99TO
Date: 1/2/2023
Operations Professional 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.
