Barbara J. Benfield
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.
Barbara Jeannine Benfield, who also goes by Barbara Finney Adams, Barbara Jeannine Finney, Barbara Finney Mccarter, Barbara Finney Nappier, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1992. Barbara had worked at 15 firms and has passed the Series 65, Series 63, SIE, 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
January 2, 2015 - October 20, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 2, 2015 - October 20, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 10, 2014 - January 8, 2015
MML INVESTORS SERVICES, LLC
February 26, 2014 - January 8, 2015
MML INVESTORS SERVICES, LLC
January 3, 2014 - February 7, 2014
SUMMIT FINANCIAL GROUP INC
January 3, 2014 - February 7, 2014
SUMMIT BROKERAGE SERVICES, INC.
September 11, 2012 - January 7, 2014
CORNERSTONE WEALTH
April 16, 2009 - September 10, 2012
LPL FINANCIAL LLC
April 16, 2009 - December 18, 2013
LPL FINANCIAL LLC
February 28, 2007 - April 17, 2009
INVEST FINANCIAL CORPORATION
February 28, 2007 - April 17, 2009
INVEST FINANCIAL CORPORATION
October 28, 2005 - February 27, 2007
CETERA WEALTH SERVICES, LLC
October 24, 2005 - February 27, 2007
CETERA WEALTH SERVICES, LLC
July 21, 2003 - October 28, 2005
BLUE VASE SECURITIES, LLC
June 18, 2003 - October 24, 2005
BLUE VASE SECURITIES, LLC
August 12, 2002 - June 16, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2002 - June 16, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 31, 2001 - August 16, 2002
CUNA BROKERAGE SERVICES, INC.
August 31, 1998 - August 16, 2002
CUNA BROKERAGE SERVICES, INC.
September 8, 1997 - August 19, 1998
SCOTT & STRINGFELLOW, INC.
July 15, 1997 - August 19, 1998
SCOTT & STRINGFELLOW, INC.
August 27, 1996 - August 6, 1997
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 22, 1992 - March 6, 1995
WACHOVIA SECURITIES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
