Donald L. Banks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Lorne Banks, who also goes by Donald L Banks, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1967. Donald had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2007 - August 23, 2013
BANKS INVESTMENT CONSULTING LLC
September 20, 1999 - September 15, 2005
CHARLES SCHWAB & CO., INC.
January 28, 1997 - September 15, 2005
CHARLES SCHWAB & CO., INC.
February 8, 1996 - October 14, 1996
A. G. EDWARDS & SONS, INC.
June 22, 1993 - September 20, 1995
BARNETT INVESTMENTS, INC.
April 12, 1993 - November 1, 1994
LUX INVESTOR SERVICES CORPORATION
May 14, 1988 - May 8, 1989
LEHMAN BROTHERS INC.
February 21, 1973 - May 14, 1988
E. F. HUTTON & COMPANY INC
June 19, 1967 - March 27, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 2/9/1982
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 6/16/1967
Registered Representative ExaminationCurrent Firm
BANKS INVESTMENT CONSULTING LLC
CRD#: 142474 / SEC#:
Contact information
Red Flags
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