Keith L. Rowe
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.
Keith Leonard Rowe, who also goes by Keith L Rowe, Keith Rowe, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2010. Keith had worked at 8 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
December 3, 2020 - March 27, 2023
BANCWEST INVESTMENT SERVICES, INC.
November 30, 2020 - March 27, 2023
BANCWEST INVESTMENT SERVICES, INC.
January 24, 2020 - November 17, 2020
FBL WEALTH MANAGEMENT, LLC
January 24, 2020 - November 17, 2020
FBL MARKETING SERVICES, LLC
June 26, 2018 - December 19, 2019
U.S. BANCORP INVESTMENTS, INC.
June 11, 2018 - December 19, 2019
U.S. BANCORP INVESTMENTS, INC.
January 30, 2015 - June 22, 2018
TD AMERITRADE, INC.
January 30, 2015 - June 22, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 30, 2015 - June 22, 2018
TD AMERITRADE, INC.
July 3, 2012 - May 31, 2013
MORGAN STANLEY
July 3, 2012 - May 31, 2013
MORGAN STANLEY
June 9, 2010 - May 15, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 2010 - May 15, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
