David C. Nelson
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 Charles Nelson, who also goes by Dave Nelson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, 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
December 11, 2014 - April 10, 2015
BANCWEST INVESTMENT SERVICES, INC.
December 10, 2014 - April 10, 2015
BANCWEST INVESTMENT SERVICES, INC.
November 18, 2014 - November 19, 2014
CUSO FINANCIAL SERVICES, L.P.
November 17, 2014 - November 19, 2014
CUSO FINANCIAL SERVICES, L.P.
June 27, 2013 - November 20, 2014
RAYMOND JAMES & ASSOCIATES, INC.
June 27, 2013 - November 20, 2014
RAYMOND JAMES & ASSOCIATES, INC.
April 4, 2005 - July 9, 2013
COMPAK ASSET MANAGEMENT
April 4, 2005 - July 9, 2013
COMPAK SECURITIES, INC.
January 5, 2005 - March 10, 2005
WELLS FARGO INVESTMENTS, LLC
January 5, 2005 - March 10, 2005
WELLS FARGO INVESTMENTS, LLC
November 4, 2003 - January 11, 2005
ATLAS SECURITIES, LLC
September 25, 2003 - November 4, 2003
BNY MELLON SECURITIES CORPORATION
September 22, 2003 - November 4, 2003
BNY MELLON SECURITIES CORPORATION
March 7, 2003 - October 30, 2003
COMPAK ASSET MANAGEMENT
March 14, 2001 - January 28, 2003
MORGAN STANLEY DW INC.
December 18, 2000 - January 28, 2003
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.
