Inactive

Stephen Matthew Banta

Banta Asset Management LP

Newport Beach, CA

Claim This Profile

Current Employers

Banta Asset Management Lp

517 30Th Street, Newport Beach, CA 92663 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2008-04-02

CA RA
APPROVED

Since 2008-04-02

Branch Locations

Fallbrook, CA • United States

517 30Th Street, Newport Beach, CA 92663 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Banta Asset Management, Lp	Newport Beach	CA	01/2007	Present

01/2007 → Present

Banta Asset Management, Lp

Newport Beach, CA

Previous Registrations

2004-07-08 → 2007-05-17

Wells Fargo Advisors Financial Network, Llc

Newport Beach, CA
1997-07-08 → 2004-07-01

Citigroup Global Markets Inc.

Glendale, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-08-01
S63	Uniform Securities Agent State Law Examination	1994-07-08

S65 Uniform Investment Adviser Law Examination

1994-08-01
S63 Uniform Securities Agent State Law Examination

1994-07-08

View on SEC IAPD

More in Fallbrook, CA

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor