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JB

Jon A. Banister

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 1017796
JB

Professional summary

Jon Allen Banister is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Jon is registered as a RR (Registered Representative) and started their career in finance in 1982. Jon has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jon Allen Banister's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 3, 2019 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901
BD
CRD#: 37157
Summit, NJ
Past

September 17, 2014 - October 16, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
DALLAS, TX
Past

September 17, 2014 - October 16, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DALLAS, TX
Past

March 9, 2011 - August 25, 2014

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
DALLAS, TX
Past

January 24, 2011 - August 25, 2014

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
DALLAS, TX
Past

October 29, 2008 - January 19, 2011

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
DENTON, TX
Past

January 11, 2007 - October 31, 2008

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
DALLAS, TX
Past

November 17, 2005 - November 29, 2006

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
DALLAS, TX
Past

May 28, 2002 - November 17, 2005

STANTON INVESTMENT SERVICES, INC.

BD
CRD#: 29462
RICHARDSON, TX
Past

June 29, 2001 - May 22, 2002

MARQUETTE FINANCIAL GROUP, INC.

BD
CRD#: 345
MINNEAPOLIS, MN
Past

June 7, 1994 - March 14, 2001

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

October 14, 1982 - May 10, 2001

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(12/11/2023)
RR
South Dakota
(12/11/2023)
RR
Texas
(10/3/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/28/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/3/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/2/1982
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/29/2011
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TL
THE LEADERS GROUP, INC.
SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
475 Springfield Ave Suite 1, Summit, NJ 07901
Phone number
(303) 797-9080
Established
Delaware since 07/14/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.SHAREHOLDER
PETERS, ROBERT WILLIAMFINOP1704577
RILEY, ZORAH JANECHIEF COMPLIANCE OFFICER3015509
WICKERSHAM, SEAN DAVIDPRESIDENT4994630

Disclosures

Regulatory Event4

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.

Company Information

THE LEADERS GROUP, INC.

CRD#: 37157Summit, NJ 07901

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