Brent S. Lemons
Professional summary
Brent Steven Lemons was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brent is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Brent had worked at 2 firms, which includes BANC OF AMERICA INVESTMENT SERVICES INC., A. G. EDWARDS & SONS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2004 - May 22, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 24, 2004 - May 22, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 12, 2002 - October 28, 2004
A. G. EDWARDS & SONS, INC.
June 28, 1982 - October 28, 2004
A. G. EDWARDS & SONS, INC.
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
Series 8
Date: 10/15/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
Red Flags
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