Ritika Singh
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.
Ritika Singh, who also goes by Ritika Malik, was a registered financial professional .
Ritika is a previously registered financial professional and started their career in finance in 2006. Ritika had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2014 - October 15, 2018
BANCWEST INVESTMENT SERVICES, INC.
March 11, 2014 - October 15, 2018
BANCWEST INVESTMENT SERVICES, INC.
October 9, 2012 - January 6, 2014
HSBC SECURITIES (USA) INC.
October 9, 2012 - January 6, 2014
HSBC SECURITIES (USA) INC.
November 15, 2011 - October 12, 2012
BANCWEST INVESTMENT SERVICES, INC.
November 15, 2011 - October 12, 2012
BANCWEST INVESTMENT SERVICES, INC.
January 31, 2011 - September 12, 2011
MORGAN STANLEY
December 14, 2010 - September 12, 2011
MORGAN STANLEY
April 23, 2010 - October 19, 2010
WELLS FARGO INVESTMENTS, LLC
April 7, 2006 - May 11, 2010
WELLS FARGO CLEARING 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.
