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Mark Allen Banazek

CRD# 2652006·Registered 1995 - 2014
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Allen Banazek, who also goes by Mark Banazek, was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1995 - 2014. Mark had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark Banazek

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

31 years in the financial services industry

Current & Past Employments

USAA FINANCIAL ADVISORS, INC.·CRD# 129035
BD
San Antonio, TX
December 9, 2013 - March 20, 2014
USAA FINANCIAL PLANNING SERVICES·CRD# 106352
RIA
San Antonio, TX
December 5, 2013 - March 20, 2014
HIGHTOWER ADVISORS, LLC·CRD# 145323
RIA
Watertown, NY
November 29, 2010 - January 16, 2013
HIGHTOWER SECURITIES, LLC·CRD# 116681
BD
Chicago, IL
November 26, 2010 - January 16, 2013
MORGAN STANLEY·CRD# 149777
RIA
San Antonio, TX
June 1, 2009 - December 13, 2010
MORGAN STANLEY·CRD# 149777
BD
San Antonio, TX
June 1, 2009 - December 13, 2010
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
RIA
San Antonio, TX
February 2, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
San Antonio, TX
July 7, 2004 - June 1, 2009
WAMU INVESTMENTS, INC.·CRD# 599
BD
Irvine, CA
May 6, 1999 - December 5, 2003
WELLS FARGO SECURITIES INC.·CRD# 17438
BD
San Francisco, CA
August 19, 1996 - May 11, 1999
FIRST INTERSTATE INVESTMENTS,INC.·CRD# 17101
BD
July 22, 1996 - August 19, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
November 1, 1995 - July 10, 1996

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Current Firm

UF
USAA FINANCIAL ADVISORS, INC.

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035 / SEC#: 8-66197
BD
Terminated by SEC on 08/29/2020

Contact Information

Established

Delaware since 07/15/2003

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.SHAREHOLDER—
FLORES, JENNIFER MARGRETFINOP AND PRINCIPAL FINANCIAL OFFICER4175069
MUIR, JAMES DYERCHIEF COMPLIANCE OFFICER2801996

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1995About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1995About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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