Helle R. Bannister
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.
Helle Romer Bannister was a registered financial professional .
Helle is a previously registered financial professional and started their career in finance in 2001. Helle had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2018 - July 26, 2018
HIGHTOWER SECURITIES, LLC
October 24, 2014 - December 23, 2016
J.P. MORGAN SECURITIES LLC
October 24, 2014 - December 23, 2016
J.P. MORGAN SECURITIES LLC
October 13, 2009 - February 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2009 - February 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - October 8, 2009
MORGAN STANLEY
April 4, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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