DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Jeffrey John Bannon
Feed of 09/14/2026
At current firm
9 y
since Mar 25, 2017
In the industry
35 y
since Nov 1, 1990 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- MML Investors Services, LLC BD affiliated currentsince Mar 25, 2017 · Boston, Ma
- Mariner independent RIAJan 30, 2017 to Jan 25, 2018 · Auburn, Ma
- Msi Financial Services, Inc. formerJan 2, 2015 to Mar 25, 2017 · Auburn, Ma
- New England Securities Corporation formerMar 26, 2007 to Jan 2, 2015 · Worcester, Ma
- U.S. Financial Advisors formerApr 1, 2000 to Jan 23, 2007 · Auburn, Ma
Moves
a registration end followed by a registration begin elsewhere
- Mariner to MML Investors Services, LLCleft Jan 25, 2018, registered Mar 25, 2017 (-306 days) · Other · moved with a team
- Msi Financial Services, Inc. to Marinerleft Mar 25, 2017, registered Jan 30, 2017 (-54 days) · Other · moved with a team
- New England Securities Corporation to Msi Financial Services, Inc.left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- U.S. Financial Advisors to New England Securities Corporationleft Jan 23, 2007, registered Mar 26, 2007 (62 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address