Cornelius F. Banta
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.
Cornelius Fitzpatrick Banta SR, who also goes by Cornelius Fitzpatrick Banta Sr, Neil Banta Sr, Neil Banta, Cornelius Fitzpatrick Banta, was a registered financial professional .
Cornelius is a previously registered financial professional and started their career in finance in 1983. Cornelius had worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 5, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2025 - April 23, 2026
FIRST AVENUE
November 28, 2022 - May 29, 2024
TRIAGO
March 20, 2015 - October 11, 2022
ALBRIGHT SECURITIES LLC
May 12, 2014 - March 2, 2015
NORTH SEA SECURITIES L.P.
October 8, 2013 - May 1, 2014
VCA SECURITIES, LP
June 18, 2008 - January 2, 2013
GREENHILL & CO., LLC
July 9, 2007 - June 25, 2008
LEHMAN BROTHERS INC.
August 20, 1999 - July 11, 2007
CITIGROUP GLOBAL MARKETS INC.
April 21, 1993 - September 24, 1998
MORGAN STANLEY MARKET PRODUCTS INC.
March 10, 1993 - September 24, 1998
MORGAN STANLEY & CO. LLC
September 21, 1983 - February 12, 1993
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 9/22/1986
Interest Rate Options ExaminationCurrent Firm
FIRST AVENUE
CRD#: 145860 / SEC#: , 8-67758
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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