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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

BRETT ARTHUR BANKS

Advisor at LPL ENTERPRISE, LLC

ST LOUIS, MO | OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:fa2b0d74-e091-100e-06bf-7398f16435a6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 25, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 21, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jan 21, 2011
First registration: Jan 25, 2011
Dual registered: yes, broker-dealer
Other names: BRETT BANKS
IAPD individual key: 5854390

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	n/a	yes	OVERLAND PARK, KS\|ST LOUIS, MO	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Dec 8, 2023	Nov 14, 2024	no	Overland Park, KS\|St. Louis, MO\|OVERLAND PARK, KS	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 14, 2021	Dec 1, 2023	no	OVERLAND PARK, KS	Previous registration
VICUS CAPITAL, INC.	Independent wealth	Mar 2, 2018	Jan 15, 2021	no	Overland Park, KS	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Feb 15, 2018	Jan 21, 2021	no	OVERLAND PARK, KS\|OLATHE, KS	Previous registration
WATERFRONT WEALTH INC.	Independent wealth	Apr 18, 2016	Feb 8, 2018	no	OVERLAND PARK, KS	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 8, 2015	Feb 9, 2018	no	LEAWOOD, KS	Previous registration
EDWARD JONES	National bd RIA	Jan 25, 2011	May 12, 2015	no	OVERLAND PARK, KS\|PRAIRIE VILLAGE, KS\|ST LOUIS, MO\|SHAWNEE, KS	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
CETERA INVESTMENT ADVISERS LLC	PRUCO SECURITIES, LLC	Dec 1, 2023	Dec 8, 2023	7	Firm change	Ibd to ibd
CETERA ADVISOR NETWORKS LLC	VICUS CAPITAL, INC.	Jan 21, 2021	Mar 2, 2018	-1,056	Firm change after gap	Other
VICUS CAPITAL, INC.	CETERA INVESTMENT ADVISERS LLC	Jan 15, 2021	Jan 14, 2021	-1	Firm change	RIA to ibd
WELLS FARGO ADVISORS	WATERFRONT WEALTH INC.	Feb 9, 2018	Apr 18, 2016	-662	Firm change after gap	Other
WATERFRONT WEALTH INC.	CETERA ADVISOR NETWORKS LLC	Feb 8, 2018	Feb 15, 2018	7	Firm change	Other
EDWARD JONES	WELLS FARGO ADVISORS	May 12, 2015	May 8, 2015	-4	Firm change	Ibd to wirehouse

Relationships

Registered with (8)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 8, 2023 to Nov 14, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jan 14, 2021 to Dec 1, 2023factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Feb 15, 2018 to Jan 21, 2021factForm ADV
→ VICUS CAPITAL, INC.Registered adviserregistration: previous registration
Mar 2, 2018 to Jan 15, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 8, 2015 to Feb 9, 2018factForm ADV
→ WATERFRONT WEALTH INC.Registered adviserregistration: previous registration
Apr 18, 2016 to Feb 8, 2018factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jan 25, 2011 to May 12, 2015factForm ADV

Dated events

Occurred
Dec 1, 2023
Advisor changed firm
Brett Arthur Banks left Cetera Investment Advisers Llc for Pruco Securities, Llc (registered 2023-12-08)
Form ADVobserved 6 days ago