Joseph C. Bencivenga
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.
Joseph Charles Bencivenga was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 16, Series 7 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
June 13, 2014 - August 11, 2017
SECURIAN FINANCIAL SERVICES, INC.
April 24, 2014 - August 11, 2017
SECURIAN FINANCIAL SERVICES, INC.
January 30, 2012 - April 9, 2014
G.C. ANDERSEN PARTNERS CAPITAL, LLC
November 16, 2007 - September 21, 2010
SUMMIT SECURITIES GROUP LLC
January 28, 2004 - May 2, 2005
GUGGENHEIM SECURITIES, LLC
April 16, 2002 - January 26, 2004
BGC FINANCIAL, L.P.
February 13, 2002 - May 3, 2002
CHELA TECHNOLOGY PARTNERS, LLC
August 27, 1997 - March 26, 2001
BARCLAYS CAPITAL INC.
September 19, 1996 - October 21, 1997
DB ALEX. BROWN LLC
May 31, 1995 - October 1, 1996
LEHMAN BROTHERS INC.
April 9, 1990 - May 11, 1995
SALOMON BROTHERS INC.
June 26, 1985 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
September 21, 1983 - May 24, 1985
SALOMON BROTHERS 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
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
