David D. 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.
David Donald Banta was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1969. David had worked at 7 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1, Series 4 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
April 2, 2008 - December 31, 2013
BANTA ASSET MANAGEMENT LP
June 16, 2004 - May 17, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 10, 2004 - May 17, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 8, 1997 - July 1, 2004
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - July 1, 2004
CITIGROUP GLOBAL MARKETS INC.
June 25, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
January 18, 1978 - August 17, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
October 27, 1969 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
Primary Firm SEC Registration
BANTA ASSET MANAGEMENT LP
CRD#: 142987 / SEC#: 801-67519
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: 10/17/1981
Interest Rate Options ExaminationPC
Date: 6/1/1977
AMEX Put and Call ExamSeries 1
Date: 1/8/1968
Registered Representative ExaminationSeries 40
Date: 9/27/1976
Registered Principal ExaminationCurrent Firm
BANTA ASSET MANAGEMENT LP
CRD#: 142987 / SEC#: 801-67519
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 216 |
| AUM (Assets Under Management) | $ 114,556,231 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2025 | ||
| 09/30/2024 | ||
| 10/18/2023 | ||
| 12/13/2022 |
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.
