Hulbert M. Bannister
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.
Hulbert Mulock Bannister, who also goes by Hulbert M Bannister, was a registered financial professional .
Hulbert is a previously registered financial professional and started their career in finance in 1968. Hulbert had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 5, PC, Series 1, Series 000, Series 10, Series 24, Series 9, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2019 - December 31, 2022
RAYMOND JAMES & ASSOCIATES, INC.
September 5, 2019 - December 31, 2022
RAYMOND JAMES & ASSOCIATES, INC.
August 13, 2009 - September 20, 2019
RBC CAPITAL MARKETS, LLC
August 13, 2009 - September 20, 2019
RBC CAPITAL MARKETS, LLC
August 12, 2006 - August 26, 2009
UBS FINANCIAL SERVICES INC.
August 12, 2006 - August 26, 2009
UBS FINANCIAL SERVICES INC.
April 21, 1999 - August 12, 2006
PIPER SANDLER & CO.
November 1, 1968 - October 5, 1972
DEAN WITTER & CO. INCORPORATED
September 1, 1968 - August 12, 2006
PIPER SANDLER & CO.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 11/11/1981
Interest Rate Options ExaminationPC
Date: 4/22/1981
AMEX Put and Call ExamSeries 1
Date: 9/26/1968
Registered Representative ExaminationSeries 000
Date: 9/1/1968
General Securities Principal ExaminationSeries 12
Date: 3/21/1981
NYSE Branch Manager ExaminationSeries 40
Date: 10/19/1978
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
