Christopher J. Benz
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.
Christopher John Benz was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1987. Christopher had worked at 9 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 27, Series 24, Series 53 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
March 1, 2001 - March 22, 2001
ADOLPH KOMORSKY INVESTMENTS
March 1, 2001 - August 24, 2001
GLENN MICHAEL FINANCIAL, INC.
April 5, 1999 - June 29, 2001
BEACON TRADING, L.L.C.
May 23, 1997 - December 15, 1998
ADOLPH KOMORSKY INVESTMENTS
March 20, 1995 - May 6, 1997
INVESTORS ASSOCIATES, INC.
January 13, 1995 - March 8, 1995
INDEPENDENT FINANCIAL GROUP, LLC
August 20, 1993 - December 31, 1994
NORCROSS & COMPANY
January 5, 1990 - August 20, 1993
GILFORD SECURITIES INCORPORATED
June 20, 1989 - January 17, 1990
R.H.DAMON & CO., INC.
May 21, 1987 - August 3, 1988
THOMSON MCKINNON SECURITIES INC.
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: 5/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
ADOLPH KOMORSKY INVESTMENTS
CRD#: 30838 / SEC#: , 8-45203
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADOLPH, PETER WILLIAM | DIRECTOR | |
| KOMORSKY, MARC ERIC | DIRECTOR | |
| BUCHANAN, VINCENT ANTHONY | CHIEF FINANCIAL OFFICER | 34247 |
| FLETCHER, RICHARD FRANCIS | DIRECTOR OF COMPLIANCE |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
