F J. Banos
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.
F Javier Banos SR, who also goes by Francisco Javier Banos Sr, Francisco Javier Banos, was a registered financial professional .
F is a previously registered financial professional and started their career in finance in 1969. F had worked at 7 firms and has passed the Series 63, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2012 - November 24, 2015
DOMINION INVESTOR SERVICES, INC.
August 3, 2009 - May 15, 2012
FOOTHILL SECURITIES, INC.
December 2, 2003 - August 3, 2009
CUE FINANCIAL GROUP, INC.
November 25, 1988 - December 3, 2003
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
January 4, 1977 - November 23, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
January 16, 1976 - November 11, 1976
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
April 18, 1975 - January 19, 1976
DORSEY & COMPANY, INC.
December 26, 1969 - May 11, 1975
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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 1
Date: 7/10/1965
Registered Representative ExaminationSeries 00
Date: 5/8/1971
General Securities Principal ExaminationCurrent Firm
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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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