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George Wright Benoit Jr

CRD# 1207136·Registered 1987 - 2021
Previously Registered: Being a previously registered professional could mean that George 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.

Professional Summary

George Wright Benoit JR, who also goes by George Wright Benoit, was a registered financial advisor. George was a previously registered financial professional and started their career in finance 1987 - 2021. George had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

George Wright Benoit

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

36 years in the financial services industry

Current & Past Employments

NW CAPITAL MARKETS INC.·CRD# 17622
BD
Hoboken, NJ
June 10, 2014 - July 28, 2021
FRANKLIN DISTRIBUTORS, LLC·CRD# 109064
BD
New York, NY
December 1, 2005 - April 7, 2009
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
August 4, 2004 - December 1, 2005
SALOMON BROTHERS INC.·CRD# 740
BD
New York, NY
November 28, 1997 - September 1, 1998
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
April 14, 1988 - June 26, 2001
MATTHEWS & WRIGHT, INC.·CRD# 7025
BD
January 13, 1988 - April 26, 1988
MATTHEWS & WRIGHT CAPITAL, INC.·CRD# 10939
BD
January 13, 1988 - June 17, 1988
CIBC WORLD MARKETS CORP.·CRD# 630
BD
May 21, 1987 - November 20, 1987

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Current Firm

NC
NW CAPITAL MARKETS INC.

NW CAPITAL MARKETS INC. | WINDSOR FINANCIAL GROUP/DE, INC.

CRD#: 17622 / SEC#: 8-35363
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Contact Information

Main Address

522 Broad Street, Bloomfield, NJ 07003

Mailing Address

522 Broad Street, Bloomfield, NJ 07003

Phone Number

(201) 656-0115

Established

Delaware since 05/27/1986

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (12 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
NW FINANCIAL HOLDINGS INC.HOLDING COMPANY—
FAGAN, JAMES ALOYSIUSEXECUTIVE OFFICER, CCO203698
MACKEY, HOWARD HAMILTON IIIEXECUTIVE OFFICER1066109
PETROSKY-MUCKLE, LISA JOYFINOP2934804

Disclosures

Regulatory Event

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2014About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2014About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Oct 2005About the Series 53 exam

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CRS (Client Relationship Summary)

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

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