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Paul J. Benz

Some features on this profile are disabled
CRD#: 1548330
PB

Professional summary

Paul Joseph Benz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Paul is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Paul had worked at 10 firms, which includes CHICAGO INVESTMENT GROUP LLC, INTERCOASTAL FINANCIAL SERVICES CORP., ADOLPH KOMORSKY INVESTMENTS, GLENN MICHAEL FINANCIAL INC., BEACON TRADING L.L.C., INVESTORS ASSOCIATES INC., GILFORD SECURITIES INCORPORATED, R.H.DAMON & CO. INC., GMS GROUP, MOORE & SCHLEY CAMERON & CO..

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

April 15, 2004 - March 1, 2007

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
CHICAGO, IL
Past

September 10, 2002 - March 25, 2004

INTERCOASTAL FINANCIAL SERVICES CORP.

BD
CRD#: 45557
JUPITER, FL
Past

February 9, 2001 - March 22, 2001

ADOLPH KOMORSKY INVESTMENTS

BD
CRD#: 30838
TARRYTOWN, NY
Past

February 9, 2001 - September 5, 2002

GLENN MICHAEL FINANCIAL, INC.

BD
CRD#: 37912
MELVILLE, NY
Past

April 5, 1999 - June 29, 2001

BEACON TRADING, L.L.C.

BD
CRD#: 45759
SAN JOSE, CA
Past

July 15, 1997 - August 29, 1999

ADOLPH KOMORSKY INVESTMENTS

BD
CRD#: 30838
TARRYTOWN, NY
Past

June 1, 1995 - July 9, 1997

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

January 15, 1990 - June 6, 1995

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

September 26, 1989 - January 17, 1990

R.H.DAMON & CO., INC.

BD
CRD#: 23091
Past

April 24, 1989 - September 16, 1989

GMS GROUP

BD
CRD#: 8000
EAST HANOVER, NJ
Past

April 29, 1987 - April 25, 1989

MOORE & SCHLEY, CAMERON & CO.

BD
CRD#: 6917

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: 6/2/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/5/1992
General Securities Principal Examination

Current Firm

CI
CHICAGO INVESTMENT GROUP, LLC
CHICAGO INVESTMENT GROUP | G. A. O. INC. | G A O INC | CHICAGO INVESTMENT GROUP, LLC | CHICAGO INVESTMENT GROUP, INC.

CRD#: 11853 / SEC#: , 8-27507

BD
Terminated by SEC on 09/07/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COMPASS CAPITAL MANAGEMENT INTERNATIONAL, LLCOWNER
MERRITT HOLDINGS II LLCSHAREHOLDER
BULLARD, ROBERT JONATHANOPS. MGR / RSOFP2975440
LYNCH, JAMES PATRICKMANAGING DIRECTOR2387056
LYNCH, RICHARD PAULCEO/ CCO1938604

Disclosures

Regulatory Event16
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

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