David J. Miraglia
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.
David J Miraglia, who also goes by David Joseph Miraglia, David Miraglia, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 6 firms and has passed the Series 66 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 5, 2014 - August 11, 2014
BANCWEST INVESTMENT SERVICES, INC.
February 5, 2014 - August 11, 2014
BANCWEST INVESTMENT SERVICES, INC.
September 22, 2011 - February 5, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2011 - February 5, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 2003 - November 5, 2010
RBC CAPITAL MARKETS, LLC
March 7, 2003 - November 5, 2010
RBC CAPITAL MARKETS, LLC
April 24, 2000 - March 19, 2003
UBS FINANCIAL SERVICES INC.
April 18, 2000 - March 19, 2003
UBS FINANCIAL SERVICES INC.
October 11, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 11, 1999 - February 29, 2000
EQUITABLE ADVISORS, 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
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.
