Mark D. Banta

BANTA ASSET MANAGEMENT LP

Newport Beach, CA 92663

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CRD#: 2074080

Professional summary

Mark David Banta is a registered financial advisor currently at BANTA ASSET MANAGEMENT LP located in Newport Beach, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Mark has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Banta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 2, 2008 - Present

BANTA ASSET MANAGEMENT LP

Office #1: 517 30th Street, Newport Beach, CA 92663

RIA

CRD#: 142987

Newport Beach, CA

Past

July 8, 2004 - May 17, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

NEWPORT BEACH, CA

Past

June 10, 2004 - May 17, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

NEWPORT BEACH, CA

Past

July 8, 1997 - July 1, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

GLENDALE, CA

Past

September 29, 1993 - July 1, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BANTA ASSET MANAGEMENT LP

CRD#: 142987 / SEC#: 801-67519

RIA

Registered Investment Advisory firm - (1/29/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/2/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/27/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/27/1993

General Securities Representative Examination

Current Firm

BANTA ASSET MANAGEMENT LP

CRD#: 142987 / SEC#: 801-67519

RIA

Registered Investment Advisory firm - (1/29/2007 Approved)

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Contact information

Main Address

517 30th Street, Newport Beach, CA 92663

Mailing Address

Phone number

(949) 673-9944

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BANTA ASSET MANAGEMENT LP FORM ADV PART 2A & 2B (2/13/2025)

Regulatory assets under management

Total Number of Accounts	216
AUM (Assets Under Management)	$ 114,556,231

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/22/2025	Cover Page	Report
09/30/2024	Cover Page	Report
10/18/2023	Cover Page	Report
12/13/2022	Cover Page	Report

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.

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Firm Stability Insights

Mark D. Banta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Banta's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

BANTA ASSET MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/1993

Series 63

Date: 10/22/1993

Series 7

Date: 9/27/1993

Current Firm

BANTA ASSET MANAGEMENT LP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BANTA ASSET MANAGEMENT LP

TRUST BUT VERIFY

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