Jamie E. 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.
Jamie Elizabeth Bannister, who also goes by Jamie E Bannister, was a registered financial professional .
Jamie is a previously registered financial professional and started their career in finance in 1999. Jamie had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2015 - May 5, 2016
ALPS DISTRIBUTORS, INC.
September 3, 2013 - April 27, 2016
RIVERNORTH CAPITAL MANAGEMENT, LLC
January 22, 2004 - June 27, 2013
NATIONAL FINANCIAL SERVICES LLC
March 27, 2000 - January 22, 2004
FIDELITY BROKERAGE SERVICES LLC
July 12, 1999 - March 7, 2000
LPL FINANCIAL LLC
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
Series 55
Date: 10/8/2001
Limited Representative-Equity Trader ExamCurrent Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
