Richard N. San Miguel
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.
Richard None San Miguel JR, who also goes by Richard San Miguel Jr, Richard Sanmiguel Jr, Richard Sanmiguel, Rick Sanmiguel Jr, Rick Sanmiguel, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1988. Richard had worked at 13 firms and has passed the Series 65, Series 63 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
July 10, 2006 - December 15, 2006
BANCWEST INVESTMENT SERVICES, INC.
July 27, 2004 - December 15, 2006
BANCWEST INVESTMENT SERVICES, INC.
July 1, 2004 - August 9, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
February 6, 2004 - April 5, 2004
BANCWEST INVESTMENT SERVICES, INC.
February 4, 2004 - April 5, 2004
BANCWEST INVESTMENT SERVICES, INC.
February 3, 2003 - April 11, 2003
IFMG SECURITIES, INC.
May 22, 2001 - April 11, 2003
IFMG SECURITIES, INC.
November 14, 1998 - June 5, 2001
CAL FED INVESTMENTS
October 7, 1998 - November 14, 1998
GLENFED BROKERAGE SERVICES
November 3, 1997 - June 2, 1998
BA INVESTMENT SERVICES, INC.
September 20, 1997 - September 29, 1997
GRIFFIN FINANCIAL SERVICES
April 28, 1995 - September 12, 1997
WELLS FARGO SECURITIES INC.
July 16, 1993 - March 9, 1995
CUNA BROKERAGE SERVICES, INC.
June 27, 1991 - December 17, 1992
METROPOLITAN LIFE INSURANCE COMPANY
June 27, 1991 - December 17, 1992
MSI FINANCIAL SERVICES, INC.
November 23, 1988 - June 7, 1991
IDS LIFE INSURANCE COMPANY
November 23, 1988 - June 7, 1991
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.
