Philip M. 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.
Philip M Banks was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1980. Philip had worked at 4 firms and has passed the Series 63, 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 11, 2008 - September 22, 2022
BCG SECURITIES, INC.
July 7, 1997 - July 10, 2008
THE INVESTMENT CENTER, INC.
April 13, 1994 - July 15, 1997
INVESTORS ASSOCIATES, INC.
August 19, 1980 - May 3, 1994
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
BCG SECURITIES, INC.
CRD#: 70 / SEC#: 801-56943, 8-12680
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
BCG SECURITIES, INC.
CRD#: 70 / SEC#: 801-56943, 8-12680
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,900 |
| AUM (Assets Under Management) | $ 740,027,520 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
