KB
Keith T. Banks
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CRD#: 2460880
KB
Keith Thomas Banks
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.
Keith Thomas Banks, CFA was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2011. Keith had worked at 1 firm and has passed the SIE, Series 3, Series 10 and Series 24 exams.
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.
I*479666 For profit or not for profit: Entity For Profit Name of outside business organization: Red Apple Group Investment related: N Address of business: New York, New York, 10019 Nature of business: ["Corporation"] Position, title, association: ["Board Member","Other"], Start date of relationship: 5/6/2021 Number of hours devoted: 20 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: Board Member - Advisory Committee, Refining, Grocery Stores, Real Estate Oversight of operations and businesses I*133695 For profit or not for profit: Non-Profit Organization Name of outside business organization: Hackensack University Medical Center Foundation Investment related: N Address of business: Edison, New Jersey 08837 Nature of business: Charitable Organization, Position, title, association: , Start date of relationship: 9/30/2020 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Hackensack University Medical Center Foundation was established as a 501(c)(3) charitable organization to benefit Hackensack University Medical Center. I am serving as co-chair of the foundation; I am on the board of trustees of the medical center FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COLUMBIA UNIVERSITY MEDICAL CENTER BOARD OF ADV. INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW YORK, NEW YORK 10032 POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 6/23/2010 NUMBER OF HOURS DEVOTED: 6 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 *72782 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LINCOLN CENTER BOARD OF TRUSTEES INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW YORK, NEW YORK 10023 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 6/13/2013 NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TRUSTEE FOR NON PROFIT ORGANIZATION 10.DUTIES: THE BOARD IS A DIVERSE GROUP OF ADVISORS WHO PROVDE STRATEGIC COUNSEL AND SUPPORT TO ADVANCE THE MEDICAL CENTER AS A LEADING INSTUTION. I*438992 For profit or not for profit: Entity Charitable Name of outside business organization: Hackensack Meridian Health Investment related: N Address of business: Hackensack, New Jersey, 07601 Nature of business: ["Hospital or Healthcare System"] Position, title, association: ["Committee","Board Member"], [["Investment committee","Other"]] Start date of relationship: 8/1/2014 Number of hours devoted: 16 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Non Profit Medical Center; Board of Trustees I*1142261 For profit or not for profit: Entity For Profit Name of outside business organization: Spacee Inc. Investment related: N Address of business: Dallas, Texas, 75243 Nature of business: ["Corporation"] Position, title, association: ["Other"], Start date of relationship: 1/16/2023 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: Advisory Board, Software Company utilizing Artificial Intelligence to enhance inventory visibility and touch screen technology. Role is advisor to the company.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
April 19, 2021 - March 14, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
February 16, 2011 - March 14, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
