| Bob Jude Sledge | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 6, 2018 | Apr 30, 2018 (83 d) |
| Tommaso De Nardo | Oppenheimer & Co. Inc. other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Feb 2, 2018 | Feb 1, 2018 |
| Paul Oh | Equitable Advisors, LLC national BD | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2018 | Jan 30, 2018 |
| Christina Marie Raya | Td Private Client Wealth LLC other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Jan 9, 2018 | Jan 24, 2018 |
| Joseph Leland Mcmanus | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 4, 2018 | Jan 9, 2018 |
| Charles Jacob Brandt | Td Ameritrade, Inc. no RAUM | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Dec 20, 2017 | Dec 20, 2017 |
| Joyce Mueni Lello | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 15, 2017 | Jan 2, 2018 |
| Grant Walter Kincade | Sorrento Pacific Financial, LLC BD affiliated | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 8, 2017 | Dec 18, 2017 |
| David N Chavez | Ameriprise Financial Services, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 28, 2017 | Dec 6, 2017 |
| Deanna W Yu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 21, 2017 | Sep 28, 2017 |
| Jason Aaron Labouff | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 14, 2017 | Dec 5, 2017 |
| Erich Brashears | Raymond James Financial Services Advisors, Inc other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Nov 10, 2017 | Dec 26, 2017 (46 d) |
| Deny Delgadillo | U.S. Bancorp Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 9, 2017 | Dec 18, 2017 (39 d) |
| Isaac Martin Suazo | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 6, 2017 | Dec 18, 2017 (42 d) |
| John Norbert Flickinger | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2017 | Sep 12, 2018 (345 d) |
| Stephen Alexander Kim Sin Belasco | Spc other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 28, 2017 | Oct 4, 2017 |
| Ashley Elizabeth Hamilton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 7, 2017 | Feb 14, 2019 (525 d) |
| Natasha Alana Miller | M&T Securities, Inc. unclassified | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Aug 18, 2017 | Mar 22, 2018 (216 d) |
| Tony Tat Yan Lam | U.S. Bancorp Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Aug 18, 2017 | Aug 24, 2018 (371 d) |
| Heidi Noelle Wilson | Advice And Planning Services other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 19, 2017 | Jul 20, 2017 (31 d) |
| Wilfredo Oscar Nevarez | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 15, 2017 | Jun 26, 2017 |
| Jim Lucas | Hsbc Securities (USA) Inc. other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Jun 6, 2017 | Nov 2, 2018 (514 d) |
| Joseph Travis Bergen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | May 12, 2017 | Jun 12, 2017 (31 d) |
| Karyn Erne Beltran-Medina | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 2, 2017 | May 10, 2017 |
| Elliott Robert Grisham | Sofi Wealth LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 16, 2017 | Apr 17, 2017 (32 d) |
| Sze Wai Kwok | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 8, 2017 | Mar 9, 2017 |
| Jeffrey Brian Edwards | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 24, 2017 | Feb 21, 2017 |
| Michael A Gomes | Strategic Advisers LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 10, 2017 | Feb 22, 2017 |
| Chad Matsuo Takabuki | Sagepoint Financial, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 9, 2017 | Feb 10, 2017 |
| Nicholas Joel Engel | Wealthplan Partners other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 12, 2017 | Jan 30, 2017 |
| David Boerio | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 21, 2016 | Dec 27, 2016 |
| Gage Thomsen | Charles Schwab & Co., Inc. national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 19, 2016 | Dec 21, 2016 |
| Dennis James Ducatt | Wealthbridge, Inc. unclassified | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 14, 2016 | Apr 11, 2016 |
| Kathryn Calderon | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 1, 2016 | Nov 29, 2016 |
| Colby James Rogers | Thrivent Investment Management Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 25, 2016 | Oct 25, 2016 |
| Katrina Helle | Msi Financial Services, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 19, 2016 | Oct 25, 2016 |
| Sean Christian Hillis | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 17, 2016 | Nov 1, 2016 |
| Chuck Wong | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 3, 2016 | Sep 28, 2016 |
| Neil John Okeeffe | U.S. Bancorp Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 2, 2016 | Sep 13, 2016 |
| Jaime Abreu Torres | Morgan Stanley wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 1, 2016 | Nov 18, 2016 (78 d) |
| Michael Anthony Fisher | J.P. Morgan Securities LLC wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 31, 2016 | Aug 18, 2016 |
| Jacob Vance Gunter | Horace Mann Investors, Inc. no RAUM | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 26, 2016 | Nov 15, 2016 (81 d) |
| Whitney Catherine Corbett Rohrer | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 23, 2016 | Sep 7, 2016 |
| Brendan James Price | Td Ameritrade Investment Management, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 18, 2016 | Aug 15, 2016 |
| Ryan Patrick Moll | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 11, 2016 | Aug 18, 2016 |
| Richard Jon Cerruti | Ameriprise Financial Services, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 6, 2016 | Jun 30, 2016 |
| Eric Joseph Cedor | Osaic Fa, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 16, 2016 | Jun 29, 2016 |
| Ryan Addison Alessi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 10, 2016 | Jun 16, 2016 |
| John Walter Healy | Nuveen Asset Management, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 6, 2016 | Jul 28, 2016 (52 d) |
| Katrina Larisa Peck | Lwi Financial Inc. other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | May 26, 2016 | May 13, 2019 (1082 d) |
| Scott Samuel Chaffee | Russell Investments other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 16, 2016 | May 26, 2016 |
| Jeremy Michael Palensky | Brookstone Wealth Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 9, 2016 | May 10, 2016 |
| Benjamin G Hanssen | Td Ameritrade, Inc. no RAUM | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 20, 2016 | Aug 5, 2016 (107 d) |
| James Olizarowicz | Ameriprise Financial Services, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 15, 2016 | May 6, 2016 |
| Diana Ho Chan | J.P. Morgan Securities LLC wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 14, 2016 | Apr 22, 2016 |
| David Brian Vaikness | Hornor, Townsend & Kent, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 13, 2016 | Sep 19, 2016 (159 d) |
| Rodney Wayne Simpson | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 4, 2016 | Apr 25, 2016 |
| Gabriel Dibildox | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 4, 2016 | Apr 29, 2016 |
| Julian Cruz | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 21, 2016 | Mar 18, 2016 |
| Gregory Lind Molfino | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 18, 2016 | May 13, 2016 (56 d) |