Frederick Banyon
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.
Frederick Banyon, who also goes by Fred Banyon, was a registered financial advisor .
Frederick is a previously registered financial advisor and started their career in finance in 1989. Frederick had worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2013 - March 28, 2022
AMERICAN TRUST INVESTMENT SERVICES, INC.
June 22, 2007 - December 12, 2011
CORPORATE INVESTMENTS GROUP, INC.
January 25, 2005 - May 23, 2005
AMERIPRISE ADVISOR SERVICES, INC.
January 25, 2005 - May 23, 2005
AMERIPRISE ADVISOR SERVICES, INC.
June 10, 2004 - September 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
May 21, 2004 - September 28, 2004
IDS LIFE INSURANCE COMPANY
May 21, 2004 - September 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
July 10, 2001 - July 31, 2001
ADVANCED EQUITIES, INC.
March 21, 1996 - January 18, 2001
CORPORATE INVESTMENTS GROUP, INC.
June 8, 1995 - January 24, 1996
EURO-ATLANTIC SECURITIES INC.
November 28, 1994 - May 31, 1995
INTERFIRST CAPITAL CORPORATION
August 29, 1994 - December 7, 1994
JOSEPHTHAL & CO., INC.
May 26, 1994 - August 16, 1994
H.J. MEYERS & CO., INC.
November 15, 1993 - April 13, 1994
WORLD EQUITY GROUP, INC.
August 25, 1993 - August 30, 1993
CIBC WORLD MARKETS CORP.
March 17, 1993 - July 1, 1993
UBS FINANCIAL SERVICES INC.
February 10, 1992 - March 23, 1992
EURO-ATLANTIC SECURITIES INC.
October 31, 1991 - November 25, 1991
GUARDIAN INTERNATIONAL SECURITIES CORP.
December 18, 1990 - November 8, 1991
OAK RIDGE INVESTMENTS, INC.
March 20, 1990 - December 11, 1990
U.S. SECURITIES CORPORATION OF WASHINGTON, DC
October 13, 1989 - June 8, 1990
WADDELL & REED
April 19, 1989 - October 28, 1989
QUEST CAPITAL STRATEGIES, INC.
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
AMERICAN TRUST INVESTMENT SERVICES, INC.
CRD#: 3001 / SEC#: , 8-14394
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
