Eli R. Harris
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.
Eli Rasa Harris was a registered financial professional .
Eli is a previously registered financial professional and started their career in finance in 2004. Eli 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
July 18, 2011 - February 11, 2013
BANCWEST INVESTMENT SERVICES, INC.
July 18, 2011 - February 11, 2013
BANCWEST INVESTMENT SERVICES, INC.
October 23, 2008 - January 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2008 - January 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2008 - October 29, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - October 29, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 11, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
September 11, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 1, 2005 - September 18, 2006
LPL FINANCIAL LLC
June 1, 2005 - September 18, 2006
LPL FINANCIAL LLC
October 13, 2004 - June 13, 2005
CETERA WEALTH SERVICES, 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.
