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RB

Ralph E. Bennett

Some features on this profile are disabled
CRD#: 1610642
RB

Professional summary

Ralph Earl Bennett was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ralph is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Ralph had worked at 5 firms, which includes BROADSTONE SECURITIES, OSAIC WEALTH INC., PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC., USA FINANCIAL GROUP INC., PRINCIPAL SECURITIES INC..

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

October 1, 2004 - June 19, 2009

BROADSTONE SECURITIES

BD
CRD#: 101600
WARREN, MI
Past

September 14, 1993 - September 29, 2004

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

December 23, 1992 - November 1, 1993

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

BD
CRD#: 13741
EL PASO, TX
Past

March 3, 1992 - December 23, 1992

USA FINANCIAL GROUP, INC.

BD
CRD#: 17819
Past

January 22, 1991 - March 2, 1992

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

November 27, 1989 - December 31, 1990

USA FINANCIAL GROUP, INC.

BD
CRD#: 17819

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: 8/1/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 11/22/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BS
BROADSTONE SECURITIES
BROADSTONE SECURITIES | MICHIGAN SECURITIES, INC. | MICHIGAN ADVISORS, INC. | INSURANCE AUDIT AGENCY, INC. | INSURANCE & AUDIT AGENCY, INC.

CRD#: 101600 / SEC#: , 8-52094

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
Michigan since 09/10/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WENTWORTH MANAGEMENT SERVICES, LLCHOLDING COMPANY
BOHLEY, TRACEY LEAFINOP, CHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIECEO/CCO4405001

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.

Company Information

BROADSTONE SECURITIES

CRD#: 101600

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