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Mark A. Banazek

Some features on this profile are disabled
CRD#: 2652006
MB

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.

Mark Allen Banazek, who also goes by Mark Banazek, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Banazek

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)

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®
None

Experience

Past

December 9, 2013 - March 20, 2014

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN ANTONIO, TX
Past

December 5, 2013 - March 20, 2014

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
SAN ANTONIO, TX
Past

November 29, 2010 - January 16, 2013

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
WATERTOWN, NY
Past

November 26, 2010 - January 16, 2013

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
CHICAGO, IL
Past

June 1, 2009 - December 13, 2010

MORGAN STANLEY

RIA
CRD#: 149777
SAN ANTONIO, TX
Past

June 1, 2009 - December 13, 2010

MORGAN STANLEY

BD
CRD#: 149777
SAN ANTONIO, TX
Past

February 2, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SAN ANTONIO, TX
Past

July 7, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN ANTONIO, TX
Past

May 6, 1999 - December 5, 2003

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

August 19, 1996 - May 11, 1999

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

July 22, 1996 - August 19, 1996

FIRST INTERSTATE INVESTMENTS,INC.

BD
CRD#: 17101
Past

November 1, 1995 - July 10, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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

State Security Law Exam
IAR
Series 65
Date: 3/25/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/10/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/30/1995
General Securities Representative Examination

Current Firm

UF
USAA FINANCIAL ADVISORS, INC.
USAA FINANCIAL ADVISORS, INC.

CRD#: 129035 / SEC#: , 8-66197

BD
Terminated by SEC on 08/29/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/15/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

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

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.

Company Information

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

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