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CB

Cornelius F. Banta

FIRST AVENUE
New York, NY 10017
Some features on this profile are disabled
CRD#: 1189142
CB

Professional summary

Cornelius Fitzpatrick Banta SR, who also goes by Cornelius Fitzpatrick Banta Sr, Neil Banta Sr, Neil Banta, Cornelius Fitzpatrick Banta, is a registered financial professional currently at FIRST AVENUE located in New York, New York.

Cornelius is registered as a RR (Registered Representative) and started their career in finance in 1983. Cornelius has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 5, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cornelius Fitzpatrick Banta Sr | Neil Banta Sr | Neil Banta | Cornelius Fitzpatrick Banta

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 Cornelius Fitzpatrick Banta SR'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 9, 2025 - Present

FIRST AVENUE

Office #1: 461 Fifth Avenue 14th Floor, New York, NY 10017
BD
CRD#: 145860
New York, NY
Past

November 28, 2022 - May 29, 2024

TRIAGO

BD
CRD#: 143529
NEW YORK, NY
Past

March 20, 2015 - October 11, 2022

ALBRIGHT SECURITIES LLC

BD
CRD#: 136630
ARLINGTON, VA
Past

May 12, 2014 - March 2, 2015

NORTH SEA SECURITIES L.P.

BD
CRD#: 35530
NEW YORK, NY
Past

October 8, 2013 - May 1, 2014

VCA SECURITIES, LP

BD
CRD#: 130748
NEW YORK CITY, NY
Past

June 18, 2008 - January 2, 2013

GREENHILL & CO., LLC

BD
CRD#: 40290
NEW YORK, NY
Past

July 9, 2007 - June 25, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 20, 1999 - July 11, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 21, 1993 - September 24, 1998

MORGAN STANLEY MARKET PRODUCTS INC.

BD
CRD#: 19794
NEW YORK, NY
Past

March 10, 1993 - September 24, 1998

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 21, 1983 - February 12, 1993

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

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
New York
(10/15/2025)
RR
Texas
(10/9/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/1/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 9/22/1986
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 3
Date: 2/19/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/16/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FA
FIRST AVENUE
FAP USA, L.P. | FIRST AVENUE

CRD#: 145860 / SEC#: , 8-67758

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

Main Address
461 Fifth Avenue 14th Floor, New York, NY 10017
Mailing Address
461 Fifth Avenue 14th Floor, New York, NY 10017
Phone number
(646) 582-5777
Established
Delaware since 02/14/2007
Firm type
Partnership
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 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#
FAP USA, L.L.C.LIMITED PARTNER
BUCKLEY, PAUL DEREKPARTNER, CEO1822709
FAP GEN PAR, L.L.C.GP
PLANT, LYDIA HYUNJUFINOP, CFO AND COO7390471
RYAN, KIMBERLY ANNCHIEF COMPLIANCE OFFICER4316310

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

FIRST AVENUE

CRD#: 145860New York, NY 10017

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