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BP

Benjamin A. Pangilinan

Some features on this profile are disabled
CRD#: 1123349
BP

Professional summary

Benjamin Agleham Pangilinan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Benjamin is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Benjamin had worked at 6 firms, which includes USALLIANZ SECURITIES INC., SECURITIES AMERICA INC., CETERA ADVISORS LLC, SUNAMERICA SECURITIES INC., ANFS INC., ANCHOR NATIONAL FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 24, 2003 - May 11, 2004

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MINNEAPOLIS, MN
Past

February 10, 2003 - September 19, 2003

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

February 12, 1999 - December 17, 2002

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

May 19, 1992 - December 31, 1998

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

June 6, 1983 - July 2, 1984

ANFS, INC.

BD
CRD#: 6534
Past

April 22, 1983 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/19/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1983
General Securities Representative Examination

Current Firm

US
USALLIANZ SECURITIES, INC.
LIFEUSA SECURITIES INC | USALLIANZ SECURITIES, INC. | LIFEUSA SECURITIES, INC.

CRD#: 40875 / SEC#: , 8-49216

BD
Terminated by SEC on 02/18/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 02/15/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICASHAREHOLDER
HOWELL, RUTH ANNETTECHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL
INGERSOLL, THADDEUS WINTHROP IIICOMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL2616975
JORGENSEN, MICHAEL JAMESPRESIDENT2676329
REITAN, EMILY SUZANNECHIEF FINANCIAL OFFICER & TREASURER5209812
VITIELLO, VINCENT GERARDCHAIRMAN OF THE BOARD1059845

Disclosures

Regulatory Event3

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.

Company Information

USALLIANZ SECURITIES, INC.

CRD#: 40875

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