Tracy A. Wildeman
Professional summary
Tracy Allen Wildeman was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tracy Allen Wildeman was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1998. Tracy had worked at 6 firms and has passed the Series 66, Series 63, Series 31 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
April 29, 2008 - July 8, 2008
BANCWEST INVESTMENT SERVICES, INC.
January 1, 2008 - April 14, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 24, 2002 - January 3, 2008
A. G. EDWARDS & SONS, INC.
May 3, 2002 - November 1, 2002
MORGAN STANLEY DW INC.
January 27, 2000 - October 9, 2001
VOYA INVESTMENTS DISTRIBUTOR, LLC
October 6, 1998 - January 21, 2000
EDWARD JONES
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
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