Carlton L. 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.
Carlton Luther Banks, who also goes by Carlton L Banks, was a registered financial professional .
Carlton is a previously registered financial professional and started their career in finance in 1988. Carlton had worked at 3 firms and has passed the Series 63, SIE, Series 62, Series 22, Series 6, Series 27, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 1994 - March 22, 2016
TALENTED TENTH INVESTMENTS INC.
May 29, 1992 - December 18, 1992
1717 CAPITAL MANAGEMENT COMPANY
October 3, 1988 - April 18, 1990
NYLIFE SECURITIES LLC
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 62
Date: 5/16/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
TALENTED TENTH INVESTMENTS INC.
CRD#: 30863 / SEC#: , 8-47280
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANKS, CARLTON LUTHER | PRESIDENT, CHIEF COMOPLIANCE OFFICER | 1477464 |
Disclosures
| Regulatory Event | 5 |
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.
