Sepideh Kazemi
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.
Sepideh Kazemi, who also goes by Sepideh T Kazemi, Sepideh Sherafat, was a registered financial professional .
Sepideh is a previously registered financial professional and started their career in finance in 1999. Sepideh had worked at 6 firms and has passed the 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
February 24, 2016 - November 22, 2017
BANCWEST INVESTMENT SERVICES, INC.
June 30, 2015 - November 22, 2017
BANCWEST INVESTMENT SERVICES, INC.
October 27, 2008 - May 27, 2015
CITY NATIONAL SECURITIES, INC.
August 1, 2005 - November 16, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 19, 2003 - May 24, 2005
FIRST REPUBLIC SECURITIES COMPANY, LLC
October 12, 2001 - April 11, 2003
WELLS FARGO INVESTMENTS, LLC
September 24, 2001 - April 11, 2003
WELLS FARGO INVESTMENTS, LLC
August 22, 2000 - September 14, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 13, 1999 - September 8, 2000
MORGAN STANLEY DW 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.
