Marc E. Bannos
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.
Marc Elliott Bannos, who also goes by Marc Elliott Bannos, Marc Bannos, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 2015. Marc had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2021 - May 27, 2026
EQUILUS GROUP INC
May 13, 2019 - June 3, 2021
PRUCO SECURITIES, LLC.
May 7, 2019 - June 3, 2021
PRUCO SECURITIES, LLC.
November 10, 2017 - April 17, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 2017 - April 17, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 28, 2016 - June 6, 2017
CHARLES SCHWAB & CO., INC.
July 7, 2015 - June 6, 2017
CHARLES SCHWAB & CO., 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
What does exam status mean?
Series 7TO
Passed: 3/24/2024
General Securities Representative ExaminationSeries 10
Passed: 12/16/2016
Series 9
Passed: 10/7/2016
Current Firm
EQUILUS GROUP INC
CRD#: 300142 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 152 |
| AUM (Assets Under Management) | $ 25,718,869 |
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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