Spencer E. Thomas
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.
Spencer E Thomas, who also goes by Spencer Edward Thomas, was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 2007. Spencer had worked at 4 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
October 10, 2014 - December 14, 2016
BANCWEST INVESTMENT SERVICES, INC.
October 10, 2014 - December 14, 2016
BANCWEST INVESTMENT SERVICES, INC.
January 3, 2011 - October 30, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - October 30, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 9, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 30, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 31, 2010 - August 6, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 18, 2007 - April 17, 2008
WELLS FARGO INVESTMENTS, LLC
September 12, 2007 - April 17, 2008
WELLS FARGO INVESTMENTS, 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.
