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
Brett Arthur Banks
Feed of 09/14/2026
Also filed as Brett Banks
At current firm
1 y
since Nov 14, 2024
In the industry
15 y
since Jan 21, 2011 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Enterprise, LLC BD affiliated currentsince Nov 14, 2024 · Overland Park, Ks
- Pruco Securities, LLC no RAUMDec 8, 2023 to Nov 14, 2024 · Overland Park, Ks
- Cetera Investment Advisers LLC BD affiliatedJan 14, 2021 to Dec 1, 2023 · Overland Park, Ks
- Vicus Capital, Inc. independent RIAMar 2, 2018 to Jan 15, 2021 · Overland Park, Ks
- Cetera Advisor Networks LLC formerFeb 15, 2018 to Jan 21, 2021 · Overland Park, Ks
- Waterfront Wealth Inc. independent RIAApr 18, 2016 to Feb 8, 2018 · Overland Park, Ks
- Wells Fargo Advisors wirehouseMay 8, 2015 to Feb 9, 2018 · Leawood, Ks
- Edward Jones national BDJan 25, 2011 to May 12, 2015 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- Pruco Securities, LLC to LPL Enterprise, LLCleft Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- Cetera Investment Advisers LLC to Pruco Securities, LLCleft Dec 1, 2023, registered Dec 8, 2023 (7 days) · Affiliated broker-dealer or bank to another
- Cetera Advisor Networks LLC to Vicus Capital, Inc.left Jan 21, 2021, registered Mar 2, 2018 (-1056 days) · Other
- Vicus Capital, Inc. to Cetera Investment Advisers LLCleft Jan 15, 2021, registered Jan 14, 2021 (-1 days) · RIA to affiliated broker-dealer or bank
- Wells Fargo Advisors to Waterfront Wealth Inc.left Feb 9, 2018, registered Apr 18, 2016 (-662 days) · Other
- Waterfront Wealth Inc. to Cetera Advisor Networks LLCleft Feb 8, 2018, registered Feb 15, 2018 (7 days) · Other
- Edward Jones to Wells Fargo Advisorsleft May 12, 2015, registered May 8, 2015 (-4 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- Brett Arthur Banks left Cetera Investment Advisers Llc for Pruco Securities, Llc (registered 2023-12-08)Dec 1, 2023 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address