Daisy L. Swetman
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.
Daisy Lee Swetman, who also goes by Daisy Lee, was a registered financial professional .
Daisy is a previously registered financial professional and started their career in finance in 2000. Daisy had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2014 - June 12, 2019
BANCWEST INVESTMENT SERVICES, INC.
February 5, 2014 - June 12, 2019
BANCWEST INVESTMENT SERVICES, INC.
October 16, 2013 - January 28, 2014
PRINCIPAL SECURITIES, INC.
October 11, 2013 - January 28, 2014
PRINCIPAL SECURITIES, INC.
July 22, 2008 - October 26, 2011
MML INVESTORS SERVICES, LLC
May 14, 2008 - October 26, 2011
MML INVESTORS SERVICES, LLC
March 23, 2004 - April 2, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 17, 2004 - April 2, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 2, 2002 - May 30, 2003
SCHONFELD SECURITIES, LLC
May 15, 2002 - November 22, 2002
RUMSON CAPITAL, LLC
March 1, 2000 - October 20, 2000
J.P. MORGAN INSTITUTIONAL INVESTMENTS 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.
