Thomas B. Bennett
Professional summary
Thomas Bradford Bennett was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas Bradford Bennett, who also goes by Thomas Bennett, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 4 firms and has passed the Series 66, Series 63, SIE 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
November 24, 2015 - July 13, 2018
BANCWEST INVESTMENT SERVICES, INC.
November 24, 2015 - July 13, 2018
BANCWEST INVESTMENT SERVICES, INC.
June 30, 2014 - July 23, 2015
U.S. BANCORP INVESTMENTS, INC.
June 30, 2014 - July 23, 2015
U.S. BANCORP INVESTMENTS, INC.
March 13, 2012 - May 13, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 12, 2012 - May 13, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 12, 2007 - March 14, 2012
EDWARD JONES
July 13, 2006 - March 14, 2012
EDWARD JONES
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
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