Benedict P. Willis
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.
Benedict Patrick Willis, who also goes by Benedict Patrick Willis III, Benedict Patrick (iii) Willis, was a registered financial professional .
Benedict is a previously registered financial professional and started their career in finance in 2000. Benedict had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 87, Series 7, Series 14 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2014 - October 6, 2017
PSG EXECUTIONS, INC.
April 1, 2014 - September 6, 2016
PRINCETON SECURITIES GROUP, LLC
May 29, 2012 - March 31, 2014
TD PRIME SERVICES LLC
June 7, 2011 - May 30, 2012
GREYWOLF EXECUTION PARTNERS, INC.
November 2, 2009 - May 29, 2012
SSC NY CORP.
June 12, 2008 - July 29, 2008
VDM TRADING, LLC
April 21, 2008 - May 5, 2008
VDM TRADING, LLC
February 5, 2007 - October 8, 2009
VDM INSTITUTIONAL BROKERAGE, LLC
March 5, 2004 - January 31, 2007
PRIME EXECUTIONS, INC.
February 10, 2004 - March 11, 2004
WILLIS, BENEDICT, PATRICK
October 1, 2000 - February 18, 2004
SUNGARD GLOBAL EXECUTION SERVICES LLC
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: 1/25/2010
Limited Representative-Equity Trader ExamCurrent Firm
PSG EXECUTIONS, INC.
CRD#: 119564 / SEC#: , 8-65194
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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