Joel L. Banes

MEMPHIS CAPITAL

Memphis, TN 38119

Some features on this profile are disabled

CRD#: 1279396

Professional summary

Joel Leigh Banes is a registered financial advisor currently at MEMPHIS CAPITAL located in Memphis, Tennessee.

Joel is registered as a RR (Registered Representative) and started their career in finance in 1984. Joel has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joel Leigh Banes's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 22, 2016 - Present

MEMPHIS CAPITAL

Office #1: 6410 Poplar Ave Suite 320, Memphis, TN 38119

CRD#: 8564

Memphis, TN

Past

April 25, 2006 - April 25, 2016

AUSTIN ATLANTIC CAPITAL INC.

CRD#: 43981

MEMPHIS, TN

Past

July 1, 2005 - December 31, 2008

MEMPHIS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 134522

MEMPHIS, TN

Past

May 31, 2005 - April 24, 2006

AFA ADVISOR SERVICES LLC

RIA

CRD#: 129104

MEMPHIS, TN

Past

October 29, 2004 - April 21, 2006

AFA FINANCIAL GROUP, LLC

CRD#: 127648

MEMPHIS, TN

Past

September 6, 2001 - April 16, 2004

MOUNTAIN RIVER SECURITIES, INC.

CRD#: 36937

DENVER, CO

Past

July 2, 1991 - August 20, 2001

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950

MEMPHIS (SHELBY), TN

Past

November 1, 1990 - July 8, 1991

THE TRADING DESK, INC.

CRD#: 22908

Past

October 5, 1989 - November 15, 1990

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

July 9, 1984 - October 17, 1989

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950

MEMPHIS (SHELBY), TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/16/2016)

Illinois
(9/17/2018)

Tennessee
(6/9/2016)

Texas
(4/22/2016)

Exams

State Security Law Exam

IAR

Series 65

Date: 2/7/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 7/6/1984

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MEMPHIS CAPITAL

CRD#: 8564 / SEC#: , 8-34927

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6410 Poplar Avenue Suite 500, Memphis, TN 38119

Mailing Address

6410 Poplar Ave., Suite 320 Suite 320, Memphis, TN 38119

Phone number

(901) 261-5950

Established

Indiana since 10/08/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HANOVER SECURITIES, LLC	OWNER
MARY WELLS QTIP TRUST / MARY LOUISE NAKAE (WELLS) TRUSTEE	OWNER
GOODWIN, CASEY DOUGLAS	PRESIDENT/CEO	6808410
HANOVER, JOHN DAVID	GENERAL COUNSEL	6011724
NAKAE, MARY LOUISE	OWNER/TRUSTEE	1923430
PARATORE, JACK ANTHONY	CCO	356248
RODRIGUEZ, AARON NETZAHUALCOYOTL	FINOP & CFO	5421965

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.

Similar Advisors

Stacey Hyde

ENVISION FINANCIAL PLANNING, LLC

IAR

Memphis, TN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joel L. Banes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joel Leigh Banes's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUSTIN ATLANTIC CAPITAL INC.

MEMPHIS CAPITAL MANAGEMENT, LLC

AFA ADVISOR SERVICES LLC

AFA FINANCIAL GROUP, LLC

MOUNTAIN RIVER SECURITIES, INC.

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

THE TRADING DESK, INC.

ROBERT THOMAS SECURITIES, INC

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/2005

Series 63

Date: 7/10/1984

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1986

Series 52

Date: 7/6/1984

Series 24

Date: 10/25/2001

FINRA

Current Firm

MEMPHIS CAPITAL

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MEMPHIS CAPITAL

TRUST BUT VERIFY

Similar Advisors