Ryan L. Band
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.
Ryan Lee Band was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2009. Ryan had worked at 4 firms and has passed the Series 66, SIE 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
September 27, 2012 - April 16, 2015
JEFFERSON NATIONAL SECURITIES CORPORATION
March 26, 2010 - June 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 2010 - June 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - April 14, 2010
MORGAN STANLEY
June 1, 2009 - April 14, 2010
MORGAN STANLEY
March 27, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 4, 2009 - 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
JEFFERSON NATIONAL SECURITIES CORPORATION
CRD#: 47582 / SEC#: , 8-51845
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
