Bennett D. Coleman
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.
Bennett Dottridge Coleman, who also goes by Ben Coleman, was a registered financial professional .
Bennett is a previously registered financial professional and started their career in finance in 1986. Bennett had worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2023 - November 3, 2025
CETERA INVESTMENT ADVISERS LLC
July 31, 2023 - November 3, 2025
CETERA INVESTMENT SERVICES LLC
January 5, 2007 - August 1, 2023
SWBC INVESTMENT COMPANY
January 3, 2007 - August 1, 2023
SWBC INVESTMENT SERVICES, LLC
November 1, 1995 - December 31, 2006
CETERA WEALTH SERVICES, LLC
November 1, 1995 - December 31, 2006
CETERA WEALTH SERVICES, LLC
May 22, 1995 - November 1, 1995
SWBC INVESTMENT COMPANY
February 21, 1992 - May 19, 1995
BANC ONE SECURITIES CORPORATION
April 19, 1991 - December 24, 1991
CAPITAL ONE INVESTMENTS, LLC
March 22, 1989 - April 23, 1991
CAPITAL BROKERAGE CORPORATION
September 26, 1986 - March 28, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 6TO
Date: 7/31/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
