Scott H. Newbanks
Professional summary
Scott Halbert Newbanks was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Scott had worked at 11 firms, which includes KMS FINANCIAL SERVICES INC., UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, LPL FINANCIAL LLC, MUTUAL SERVICE CORPORATION, TITAN/VALUE EQUITIES GROUP INC., EMPOWER FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., E. F. HUTTON & COMPANY INC, CINCINNATI ANALYSTS INC., PIONEER SECURITIES INC., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2017 - November 3, 2017
KMS FINANCIAL SERVICES, INC.
October 3, 2017 - November 3, 2017
KMS FINANCIAL SERVICES, INC.
September 8, 2010 - September 29, 2017
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 1, 2010 - September 29, 2017
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 8, 2009 - September 13, 2010
LPL FINANCIAL LLC
September 8, 2009 - September 13, 2010
LPL FINANCIAL LLC
February 20, 2009 - September 8, 2009
MUTUAL SERVICE CORPORATION
March 31, 1999 - September 8, 2009
MUTUAL SERVICE CORPORATION
May 21, 1987 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
January 2, 1987 - May 18, 1987
EMPOWER FINANCIAL SERVICES, INC.
August 8, 1986 - September 30, 1986
CITIGROUP GLOBAL MARKETS INC.
August 21, 1985 - August 4, 1986
E. F. HUTTON & COMPANY INC
October 11, 1984 - September 4, 1985
CINCINNATI ANALYSTS, INC.
March 15, 1984 - October 5, 1984
PIONEER SECURITIES, INC.
December 7, 1983 - March 3, 1986
FORESTERS FINANCIAL SERVICES, 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
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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