Barbara A. Bannon
Professional summary
Barbara Ann Bannon, who also goes by Barbara Ann Painter, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Mifflinburg, Pennsylvania.
Barbara is registered as a RR (Registered Representative) and started their career in finance in 1981. Barbara has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Barbara Ann Bannon's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4177 Wildwood Rd, Mifflinburg, PA 17844May 29, 2013 - September 3, 2013
WALNUT STREET SECURITIES, INC.
January 2, 2009 - January 9, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 23, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - September 1, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 7, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
January 3, 1994 - September 17, 1998
JWGENESIS SECURITIES, INC.
July 12, 1990 - January 3, 1994
JW GENESIS CLEARING CORP.
October 19, 1981 - March 26, 1990
JW GENESIS CLEARING CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/3/2013)
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
