Judith E. Benson-shank
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Judith E Benson-shank, who also goes by Judith E Benson, Judy Benson, Judith Elizabeth Benson-shank, Judy Benson-shank, Judith Elizabeth Bensonshank, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1983. Judith had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - May 23, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - May 23, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 13, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 31, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 31, 2000 - August 3, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
March 31, 1999 - May 12, 2000
MORGAN STANLEY DW INC.
December 17, 1998 - March 16, 1999
ARCADIA INVESTMENT CORPORATION
August 19, 1996 - December 9, 1998
WELLS FARGO SECURITIES INC.
August 29, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
December 20, 1993 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
November 6, 1986 - September 8, 1987
CARL & COMPANY, INCORPORATED
March 22, 1983 - October 17, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
