Kristen M. Tabke
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.
Kristen Melissa Tabke was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 2003. Kristen had worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2012 - August 31, 2023
BANCWEST INVESTMENT SERVICES, INC.
July 25, 2011 - January 23, 2012
ALAMO CAPITAL
February 20, 2008 - September 17, 2008
AFA ADVISOR SERVICES LLC
February 20, 2008 - September 17, 2008
AFA FINANCIAL GROUP, LLC
May 10, 2007 - February 21, 2008
FINANCIAL WEST GROUP
May 10, 2007 - February 21, 2008
FINANCIAL WEST GROUP
April 16, 2007 - April 24, 2007
COMMONWEALTH FINANCIAL NETWORK
October 5, 2005 - March 30, 2007
FINANCIAL WEST GROUP
October 5, 2005 - March 30, 2007
FINANCIAL WEST GROUP
June 30, 2003 - September 16, 2005
PARTNERVEST ADVISORY SERVICES LLC
January 15, 2003 - September 16, 2005
PARTNERVEST SECURITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
