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Detailed Report
KEVIN WOOD BANNISTER
CRD#: 2713503
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 13137 University Ave
Clive, IA 50325
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2006 (7 years)2 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - 2019 (10 years)2 FIRMS2019 - Present (5 years)BVSR FINANCIAL SERVICES, INC. (CRD# 14503)1996 - 1999 (2 years)
License(s)

State Registrations

B
Arizona 9/5/2019
B
Nevada 9/5/2019
B
Arkansas 9/5/2019
B
New Jersey 10/14/2021
B
California 9/5/2019
B
New Mexico 9/5/2019
B
Colorado 9/5/2019
B
New York 9/5/2019
B
District of Columbia 9/5/2019
B
North Dakota 10/19/2023
B
Florida 9/5/2019
B
Ohio 9/5/2019
B
Illinois 9/5/2019
B
Pennsylvania 9/5/2019
B
Indiana 9/5/2019
B
South Carolina 9/5/2019
B
Iowa 9/5/2019
B
South Dakota 9/5/2019
IA
Iowa 9/5/2019
B
Tennessee 3/13/2023
B
Kansas 8/11/2020
B
Texas 9/5/2019
B
Louisiana 9/5/2019
IA
Texas 9/16/2019
B
Maine 10/14/2021
B
Utah 9/10/2024
B
Maryland 9/5/2019
B
Virginia 9/5/2019
B
Minnesota 9/5/2019
B
Washington 9/5/2019
B
Missouri 9/5/2019
B
West Virginia 9/5/2019
B
Montana 12/2/2024
B
Wisconsin 9/5/2019
B
Nebraska 9/5/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
13137 University Ave, Clive, IA 50325
Des Moines, IA
Registered with this firm since 9/5/2019
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
13137 University Ave, Clive, IA 50325
Des Moines, IA
Registered with this firm since 9/5/2019
Previous Registration(s)
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IA
 08/13/2009 - 09/20/2019 RBC CAPITAL MARKETS, LLC (CRD#:31194) CLIVE, IA
B
 08/13/2009 - 09/20/2019 RBC CAPITAL MARKETS, LLC (CRD#:31194) CLIVE, IA
IA
 08/12/2006 - 08/26/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEST DES MOINES, IA
B
 08/12/2006 - 08/26/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEST DES MOINES, IA
IA
 12/30/1999 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) WEST DES MOINES, IA
B
 01/15/1999 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) WEST DES MOINES, IA
B
 04/12/1996 - 02/04/1999 VSR FINANCIAL SERVICES, INC. (CRD#:14503) OVERLAND PARK, KS
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.