James E. Benning
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.
James Edward Benning, who also goes by James E Benning, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 10, Series 9 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
December 16, 2013 - August 22, 2024
IC ADVISORY SERVICES, INC.
December 16, 2013 - August 22, 2024
THE INVESTMENT CENTER, INC.
October 18, 2010 - November 29, 2013
EDWARD JONES
October 18, 2010 - November 29, 2013
EDWARD JONES
March 23, 2007 - July 28, 2010
CHASE INVESTMENT SERVICES CORP.
March 23, 2007 - July 28, 2010
CHASE INVESTMENT SERVICES CORP.
March 28, 2005 - March 7, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 2005 - March 7, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2002 - April 15, 2005
UBS FINANCIAL SERVICES INC.
April 5, 2002 - April 15, 2005
UBS FINANCIAL SERVICES INC.
March 23, 2001 - November 8, 2001
BRADESCO SECURITIES, INC.
July 29, 1988 - February 21, 2001
BT BROKERAGE CORPORATION
March 16, 1988 - July 7, 1988
KEANE SECURITIES CO., INC.
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
Series 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
