Josef Ban
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.
Josef Ban, who also goes by Josef Ban Jr., Joseph Ban Jr, Joseph Ban, was a registered financial professional .
Josef is a previously registered financial professional and started their career in finance in 1999. Josef had worked at 6 firms and has passed the Series 63, SIE, Series 57, Series 56, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2018 - March 8, 2019
AVATAR SECURITIES, LLC
August 29, 2018 - October 15, 2018
HOLD BROTHERS CAPITAL LLC
January 25, 2012 - October 1, 2014
T3 TRADING GROUP, LLC
September 19, 2011 - January 17, 2012
AVATAR SECURITIES, LLC
March 11, 2011 - July 15, 2011
T3 TRADING GROUP, LLC
May 22, 2006 - September 27, 2007
WHEATLEY CAPITAL SERIES FUND LLC
December 3, 2002 - July 26, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
February 10, 2000 - October 21, 2002
LIGHTSPEED PROFESSIONAL TRADING LLC
July 29, 1999 - December 22, 2000
MORGAN STANLEY DW 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
Series 56
Date: 9/16/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 3/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 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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