William M. Banks
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.
William Michael Banks, who also goes by Bill Banks, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2009 - December 31, 2009
MONEY CONCEPTS CAPITAL CORP
November 6, 2008 - February 9, 2009
BROOKSTONE SECURITIES, INC.
March 12, 2008 - July 23, 2008
PACIFIC WEST SECURITIES, INC.
February 1, 2005 - November 6, 2007
INVEST FINANCIAL CORPORATION
December 14, 2004 - February 15, 2005
ARGENTUS SECURITIES, LLC
May 19, 2004 - March 1, 2005
GREENWICH GLOBAL, LLC
May 13, 1993 - May 4, 2004
OSAIC WEALTH, INC.
August 19, 1992 - August 28, 1992
CHATFIELD DEAN & CO., INC.
May 22, 1992 - May 27, 1992
FINANCIAL HORIZONS SECURITIES CORPORATION
May 13, 1992 - May 26, 1992
CITICORP INVESTMENT SERVICES
November 24, 1989 - January 1, 1990
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - May 7, 1992
OSAIC WEALTH, INC.
May 13, 1988 - July 10, 1989
NEW ENGLAND SECURITIES
July 2, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 21, 1985 - July 9, 1986
DAVID LERNER ASSOCIATES, INC.
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
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
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
