Individual Firm
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Jamison Richard Banna
CRD#: 5409034
IA
B
CAPE INVESTMENT ADVISORY, INC.CRD#: 146384 210 North Higgins Ave Suite 200
Missoula, MT 59802
Missoula, MT 59802
CAPE SECURITIES INC.CRD#: 7072 210 North Higgins Ave Suite 200
Missoula, MT 59802
Missoula, MT 59802
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8/13/2020
Financial
Final
12/5/2016
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 1/21/2021
IA
Montana 10/9/2020
IA
Arizona 1/27/2022
B
Oregon 1/22/2021
B
California 10/8/2020
B
Texas 6/29/2022
B
Florida 10/8/2020
B
Washington 10/8/2020
B
Montana 10/9/2020
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 10/9/2020
B
Registered with this firm since 10/8/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/05/2010 - 10/09/2020 | MISSOULA, MT | |
B | 11/23/2009 - 10/08/2020 | MISSOULA, MT |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.