Roger A. Banville
Professional summary
Roger A Banville, who also goes by Roger Arthur Banville, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Williamsburg, Virginia and NYLIFE DISTRIBUTORS LLC located in New York, New York.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Roger has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Roger A Banville's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 23, 2016 - Present
EAGLE STRATEGIES LLC
June 28, 2012 - Present
NYLIFE DISTRIBUTORS LLC
Office #1: 51 Madison Avenue, New York, NY 10010August 11, 2010 - June 15, 2012
WALTON SECURITIES, INC.
February 5, 2008 - October 23, 2009
MML DISTRIBUTORS, LLC
November 11, 2004 - January 7, 2008
JOHN HANCOCK DISTRIBUTORS LLC
August 14, 2002 - September 21, 2004
MONY SECURITIES CORPORATION
January 1, 2002 - March 8, 2002
SIGNATOR INVESTORS, INC.
April 15, 1999 - January 1, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
March 20, 1998 - July 8, 1999
SIGNATOR INVESTORS, INC.
August 18, 1994 - March 4, 1997
COREBRIDGE CAPITAL SERVICES, INC.
December 14, 1992 - October 8, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 14, 1992 - October 8, 1993
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/1/2023)
(6/28/2012)
(6/28/2012)
(8/14/2024)
(3/1/2023)
(6/28/2012)
(3/1/2023)
(8/14/2024)
(6/28/2012)
(12/5/2022)
(8/15/2012)
Exams
FINRA
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
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