Felicia G. Robertson
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.
Felicia Gale Robertson was a registered financial professional .
Felicia is a previously registered financial professional and started their career in finance in 2006. Felicia had worked at 5 firms and has passed the Series 66, 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
June 13, 2014 - April 21, 2015
BANCWEST INVESTMENT SERVICES, INC.
June 13, 2014 - April 21, 2015
BANCWEST INVESTMENT SERVICES, INC.
July 12, 2010 - June 20, 2012
CHASE INVESTMENT SERVICES CORP.
July 9, 2010 - June 20, 2012
CHASE INVESTMENT SERVICES CORP.
August 7, 2009 - July 16, 2010
CUNA BROKERAGE SERVICES, INC.
August 7, 2009 - July 16, 2010
CUNA BROKERAGE SERVICES, INC.
May 10, 2007 - July 1, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 10, 2007 - July 1, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 18, 2006 - March 5, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
December 6, 2006 - March 5, 2007
AMERIPRISE FINANCIAL 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.
