HANCOCK WHITNEY INVESTMENT SERVICES INC. of NEW ORLEANS, LA is an SEC-registered investment adviser (CRD 40637). Regulatory assets under management: $306.1M.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Charities.
Showing 25 of 43 people.
| Name | Role | Location |
|---|---|---|
| Miles Stuart Milton | PRESIDENT/CEO AND DIRECTOR | — |
| Stuart Todd Nichoalds | AML/BSA OFFICER | — |
| Patricia Kives Loupe | ASSISTANT SECRETARY | — |
| Kyna Natasha Smith | ASSISTANT SECRETARY | — |
| Anita Gregoire Schexnayder | VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR | — |
| John Mario Jr Rigney | RIA-CCO/VP/SECRETARY & DIRECTOR | — |
| Donna Bartlett | BROKER DEALER - CHIEF COMPLIANCE OFFICER | — |
| HILL RUSSELL THOMAS | DIRECTOR | — |
| BAUDER MICHAEL CONRAD | VICE PRESIDENT, COMPLIANCE DIRECTOR | — |
| SAIK CLIFTON JOSEPH | DIRECTOR, CHAIRMAN | — |
| CAIN KENDRA BRADFORD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| DEBLANC RONALD JOSEPH | VICE PRESIDENT, CFO, SENIOR ASST. SECRETARY & TREASURER; VICE PRESIDENT, DIRECTOR OF FINANCIAL OPERATIONS, SECRETARY, TREASURER | — |
| BARTLETT DONNA | BROKER DEALER - CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| FUJINAGA JAMES HIROSHI | PRESIDENT & CEO; PRESIDENT/CEO AND DIRECTOR | — |
| BLUTH ROBERT RANDALL | PRESIDENT & CEO; PRESIDENT, DIRECTOR, CEO | — |
| SIMMONS MICHAEL JAY | VICE PRESIDENT, MANAGER PRINCIPAL APPROVAL; VICE PRESIDENT, PROJECT DIRECTOR | — |
| ROWLEN BETTY LOU | VICE PRESIDENT, DIRECTOR OF BROKERAGE AND FINANCIAL OPERATIONS; VICE PRESIDENT, DIRECTOR OF FINANCIAL OPERATIONS, SECRETARY, TREASURER; VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF COMPLIANCE OFFICER, SECRETARY, TREASURER (+1 more) | — |
| CHANEY CARL JESSE | DIRECTOR, VICE PRESIDENT | — |
| SEAL JR LEO WILLIAM | DIRECTOR | — |
| SCHLOEGEL GEORGE ANTHONY | DIRECTOR | — |
| HAIRSTON JOHN MICHAEL | DIRECTOR | — |
| EDEN WILLIAM MONTAGUE | VICE PRESIDENT, COMPLIANCE DIRECTOR, CHIEF COMPLIANCE OFFICER | — |
| SANCHEZ HENRY JR | VICE PRESIDENT, INTERIM CHIEF COMPLIANCE OFFICER | — |
| WYBLE LISA FULKS | SECRETARY, VICE PRESIDENT, OPERATIONS MANAGER | — |
| HOGGATT GLORIA JARREAU | ASSISTANT VICE PRESIDENT, BROKERAGE OPERATIONS SUPERVISOR; BROKERAGE OFFICER, BROKERAGE OPERATIONS SUPERVISOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-09-25 | regulatory | AS PER THE SEC'S ORDER ,AT TIMES FROM JANUARY 2014 TO MAY 2017, HWIS FAILED TO ADEQUATELY DISCLOSE CONFLICTS OF INTEREST ARISING FROM THREE DIFFERENT SHARE CLASS SELECTION PRACTICES. FIRST, THE ORDER FINDS THAT HWIS SELECTED MUTUAL FUND SHARE CLASSES FOR CLIENTS THAT CHARGED 12B-1 FEES THAT FINANCIA… | Final | $2.3M |
| 2018-01-16 | regulatory | OUR AFFILIATE BROKER/DEALER UNCOVERED AN ISSUE WITH ITS EMAIL RETENTION SYSTEM AND SELF REPORTED THE MATTER TO FINRA. THE SYSTEM WAS NOT FULLY WORM COMPLIANT, BUT THERE WAS NO LOSS OF RECORDS. THE MATTER WAS SELF REPORTED AND CORRECTED BY THE BROKER/DEALER. | Final | $100K |