Thomas A. Banus
Professional summary
Thomas Anthony Banus was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas Anthony Banus was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1999. Thomas had worked at 7 firms and has passed the Series 66, Series 31 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 14, 2008 - January 27, 2011
WALNUT STREET SECURITIES, INC.
September 23, 2008 - January 27, 2011
WALNUT STREET SECURITIES, INC.
September 17, 2008 - October 2, 2008
INVESTORS CAPITAL CORP.
September 10, 2008 - October 2, 2008
INVESTORS CAPITAL CORP.
September 13, 2006 - September 12, 2008
AMERIPRISE ADVISOR SERVICES, INC.
September 11, 2006 - September 12, 2008
AMERIPRISE ADVISOR SERVICES, INC.
September 13, 2004 - September 18, 2006
CITIGROUP GLOBAL MARKETS INC.
September 10, 2004 - September 18, 2006
CITIGROUP GLOBAL MARKETS INC.
December 16, 2002 - September 16, 2004
QUICK & REILLY, INC.
March 7, 2002 - September 16, 2004
QUICK & REILLY, INC.
January 25, 2001 - February 14, 2002
WELLS FARGO CLEARING SERVICES, LLC
December 17, 1999 - November 17, 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
Current Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
