Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Spencer Banks has been in the financial industry since 1993 and is currently registered with Raymond James & Associates, Inc. John has a diverse background, having previously worked with WELLS FARGO CLEARING SERVICES, LLC and A. G. EDWARDS & SONS, INC. John's current registrations include Florida, New York, and Virginia. John is experienced in various areas of financial services including financial planning, pension consulting, and portfolio management.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
04/24/2018 - Present
Raymond James & Associates, Inc. (Edgartown MA)
NY
01/01/2008 - 04/27/2018
WELLS FARGO CLEARING SERVICES, LLC (PITTSFORD NY)
NY
06/09/1993 - 01/03/2008
A. G. EDWARDS & SONS, INC. (PITTSFORD NY)
BOTH
Issued 04/24/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/20/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 04/30/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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