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BB

Bernadette B. Banares

HAYWOOD SECURITIES (USA)
Vancouver, Bc, V6C 3L6
Some features on this profile are disabled
CRD#: 6928911
BB

Professional summary

Bernadette Bautista Banares is a registered financial professional currently at HAYWOOD SECURITIES (USA) INC. .

Bernadette is registered as a RR (Registered Representative) and started their career in finance in 2019. Bernadette has worked at 1 firm and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bernadette Bautista Banares's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 7, 2019 - Present

HAYWOOD SECURITIES (USA) INC.

Office #1: 200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
BD
CRD#: 42072
Vancouver, Bc,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 27
Date: 5/5/2019
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HAYWOOD SECURITIES (USA) INC.
HAYWOOD (USA) SECURITIES INC. | HAYWOOD SECURITIES (USA) INC.

CRD#: 42072 / SEC#: , 8-49696

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Mailing Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Phone number
(604) 697-7400
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HAYWOOD SECURITIES INC.SHAREHOLDER
BANARES, BERNADETTE BAUTISTACHIEF FINANCIAL OFFICER6928911
BLANCHARD, ROBERT CRAIGPRESIDENT & CHIEF EXECUTIVE OFFICER2814206
THOMPSON, STANLEY BRUCEHEAD OF COMPLIANCE, CHIEF COMPLIANCE OFFICER4936225
VIRVILIS, PETERNON CONTROL DIRECTOR7991478

Disclosures

Regulatory Event3

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.

Company Information

HAYWOOD SECURITIES (USA) INC.

CRD#: 42072Vancouver, Bc, V6C 3L6

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