Robert T. Banks
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.
Robert Todd Banks, who also goes by R. Todd Banks, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 6 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
July 30, 2012 - January 3, 2017
MAIN LINE GROUP WEALTH MANAGEMENT, LLC
January 10, 2011 - September 20, 2016
REALTA EQUITIES, INC.
January 25, 2010 - November 2, 2010
CETERA WEALTH SERVICES, LLC
January 14, 2010 - November 2, 2010
CETERA WEALTH SERVICES, LLC
March 13, 2009 - January 5, 2010
ON INVESTMENT MANAGEMENT CO
February 25, 2009 - January 5, 2010
THE O.N. EQUITY SALES COMPANY
October 10, 2002 - January 14, 2003
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MAIN LINE GROUP WEALTH MANAGEMENT, LLC
CRD#: 150964 / SEC#: 801-124756
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
MAIN LINE GROUP WEALTH MANAGEMENT, LLC
CRD#: 150964 / SEC#: 801-124756
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 274 |
| AUM (Assets Under Management) | $ 111,696,007 |
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.
