Theodore C. Sihpol
Professional summary
Theodore Charles Sihpol III was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Theodore is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Theodore had worked at 5 firms, which includes BANC OF AMERICA INVESTMENT SERVICES INC., BANC OF AMERICA SECURITIES LLC, CIBC WORLD MARKETS CORP., MORGAN STANLEY DW INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2003 - October 10, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 11, 2000 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
June 8, 1998 - December 19, 2000
CIBC WORLD MARKETS CORP.
July 1, 1997 - July 6, 1998
MORGAN STANLEY DW INC.
June 6, 1994 - July 17, 1997
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
Red Flags
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