Sidney E. Banks

ST. BERNARD FINANCIAL SERVICES

Russellville, AR 72801-2551

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CRD#: 711829

Professional summary

Sidney Eugene Banks is a registered financial advisor currently at ST. BERNARD FINANCIAL SERVICES, INC. located in Russellville, Arkansas.

Sidney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Sidney has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

KIWANIS CLUB OF JONESBORO - NOT INVESTMENT RELATED - JONESBORO, AR - CIVIC CLUB - BOARD OF DIRECTORS - 07/20/1972 - CIVIC CLUB - NO COMPENSATION - HRS DRNG BSNSS HRS - 4 HRS A MNTH DRNG NON BSNSS HRS - NO CONFLICTS OF INTEREST. DBA: BANKS AND BROWN THE NAME I OPERATE MY SECURITIES BUSINESS. I ALSO HAVE AN INSURANCE LICENSE AND SELL INSURANCE PRODUCTS UNDER THIS DBA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sidney Eugene Banks's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Sidney Eugene Banks'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

November 29, 2012 - Present

ST. BERNARD FINANCIAL SERVICES, INC.

Office #1: 1609 West Main St, Russellville, AR 72801-2551Office #2: 300 W. Jefferson, Jonesboro, AR 72401

RIA

CRD#: 36956

Russellville, AR

Current

November 7, 2012 - Present

ST. BERNARD FINANCIAL SERVICES, INC.

Office #1: 1609 West Main St, Russellville, AR 72801-2551Office #2: 300 W. Jefferson, Jonesboro, AR 72401

RIA

CRD#: 36956

Russellville, AR

Past

November 7, 2012 - November 14, 2012

ST. BERNARD FINANCIAL SERVICES, INC.

RIA

CRD#: 36956

JONESBORO, AR

Past

April 19, 2010 - October 18, 2012

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

JONESBORO, AR

Past

April 19, 2010 - October 18, 2012

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

JONESBORO, AR

Past

January 1, 2008 - April 23, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

JONESBORO, AR

Past

January 1, 2008 - April 23, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

JONESBORO, AR

Past

January 13, 2006 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

JONESBORO, AR

Past

March 27, 1997 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

JONESBORO, AR

Past

February 22, 1995 - February 23, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 22, 1980 - April 4, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956 / SEC#: 801-113763, 8-47566

RIA

Registered Investment Advisory firm - SEC (7/31/2018 Approved)

Arkansas

Registered Investment Advisory firm - SEC (11/1/2018 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/21/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/31/2018 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Missouri

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/9/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(11/29/2012)

IAR

Arkansas
(11/29/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/12/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/31/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/10/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/30/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/27/2000

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956 / SEC#: 801-113763, 8-47566

RIA

Registered Investment Advisory firm - SEC (7/31/2018 Approved)

Arkansas

Registered Investment Advisory firm - SEC (11/1/2018 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/21/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/31/2018 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Missouri

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/9/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1609 West Main St., Russellville, AR 72801

Mailing Address

1609 West Main St., Russellville, AR 72801

Phone number

(479) 967-1200

Established

Arkansas since 03/24/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

109

SEC notice filing (40 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PT 2 02-01-2024 (1/29/2025)

Direct owners and executive officers

Name	Position	CRD#
ROBERT KEENAN REVOCABLE TRUST	OWNER
CELI, MARK EDWARD	OPTIONS PRINCIPAL	1676074
DYER, SHARON JANE	ASSISTANT FINOP AND MUNI PRINCIPAL	1456415
KEENAN, ROBERT JR	CEO, CCO, TRUSTEE OF ROBERT KEENAN TRUST	2000976

Regulatory assets under management

Total Number of Accounts	841
AUM (Assets Under Management)	$ 130,472,570

Disclosures

Regulatory Event

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.

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sidney E. Banks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sidney Eugene Banks's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Sidney Eugene Banks's CRS (Customer Relationship Summary).

Certified licenses

Experience

ST. BERNARD FINANCIAL SERVICES, INC.

ST. BERNARD FINANCIAL SERVICES, INC.

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ST. BERNARD FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/12/2006

Series 63

Date: 7/31/1980

SIE

Date: 10/1/2018

Series 3

Date: 11/10/2006

Series 7

Date: 7/19/1980

Series 9

Date: 10/30/2000

Series 10

Date: 9/27/2000

FINRA

Current Firm

ST. BERNARD FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (40 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ST. BERNARD FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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