David A. Banta
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.
David Arthur Banta, who also goes by David A Banta, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2012 - July 16, 2018
ROSS, SINCLAIRE & ASSOCIATES, LLC
February 14, 2011 - July 20, 2012
FIRST SOUTHWEST COMPANY, LLC
August 21, 2008 - February 15, 2011
FIDELITY BROKERAGE SERVICES LLC
December 21, 1991 - January 6, 2011
NATIONAL FINANCIAL SERVICES LLC
December 21, 1989 - June 19, 1990
BANCBOSTON SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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