Eric M. Banner
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.
Eric Michael Banner, who also goes by Eric Banner, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1987. Eric had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2021 - October 24, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 2, 2021 - October 21, 2022
FIDELITY BROKERAGE SERVICES LLC
March 2, 2015 - January 11, 2016
THE ADVISORY GROUP OF SAN FRANCISCO, LLC
May 16, 2011 - April 30, 2013
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 25, 2008 - April 20, 2011
PERSHING LLC
January 30, 2007 - December 18, 2007
CHARLES SCHWAB & CO., INC.
April 8, 2005 - June 28, 2006
WELLS FARGO BROKERAGE SERVICES, L.L.C.
February 28, 1996 - November 30, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
April 16, 1992 - December 31, 1995
FIDELITY BROKERAGE SERVICES LLC
February 18, 1992 - April 11, 1992
NATIONAL FINANCIAL SERVICES LLC
February 20, 1987 - June 27, 1988
FIDELITY BROKERAGE SERVICES 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 7TO
Date: 7/1/2021
General Securities Representative ExaminationSeries 8
Date: 7/29/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
