Lillie Ben

Some features on this profile are disabled

CRD#: 1744405

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.

Lillie Ben, who also goes by Lillian Kwak Ben, was a registered financial professional .

Lillie is a previously registered financial professional and started their career in finance in 1987. Lillie had worked at 12 firms and has passed the Series 66, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lillian Kwak Ben

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.

TBA / 0920-Present / Invst Rltd- No / Parker City CO 80134 / Owner - managing member / Tax Preparation / Hrs Work Monthly: 10 / Sec Trading Hrs: 1 / I will select, hire and oversee licensed CPAS and EAs to prepare clients taxes . I will not participate in the preparation of the legal-tax documents (i.e., I will not personally prepare the clients' tax returns). Ms. Ben works as an independent insurance agent for multiple insurance carriers as an independent agent/contractor. She offers various fixed insurance and health insurance products to advisory and non advisory client. Apx 60 hours a month is spent on this activity both during and after market hours. This activity is primarily conducted out of her branch office.

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

May 3, 2022 - March 15, 2024

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Parker, CO

Past

March 22, 2021 - November 30, 2021

WEALTH WATCH ADVISORS, INC

RIA

CRD#: 172002

Parker, CO

Past

August 28, 2019 - March 11, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

GREENWOOD VILLAGE, CO

Past

August 28, 2019 - March 11, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

GREENWOOD VILLAGE, CO

Past

April 28, 2018 - September 12, 2018

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

GREENWOOD VILLAGE, CO

Past

April 3, 2018 - September 12, 2018

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

GREENWOOD VILLAGE, CO

Past

March 18, 2016 - February 23, 2018

WEALTH WATCH ADVISORS, INC

RIA

CRD#: 172002

Parker, CO

Past

November 18, 2008 - October 2, 2009

COLORADO FINANCIAL SERVICE CORPORATION

CRD#: 104343

CENTENNIAL, CO

Past

October 15, 2007 - March 21, 2016

ESSENTRIA FINANCIAL EXPERIENCE, LLC

RIA

CRD#: 144856

PARKER, CO

Past

August 29, 2007 - December 31, 2008

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

MONACA, PA

Past

July 12, 2007 - October 29, 2007

SUCRE'-VAIL WEALTH ADVISORS

RIA

CRD#: 114679

HOUSTON, TX

Past

October 6, 2005 - July 5, 2007

OSAIC FA, INC.

RIA

CRD#: 3978

DENVER, CO

Past

November 22, 2004 - March 25, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

November 22, 2004 - July 5, 2007

OSAIC FA, INC.

CRD#: 3978

DENVER, CO

Past

October 20, 1998 - September 8, 2004

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

October 7, 1987 - November 24, 1987

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

Past

October 7, 1987 - November 27, 1987

AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.

CRD#: 148

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/28/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/28/2018

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 9/30/2005

General Securities Representative Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lillie Ben

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTH WATCH ADVISORS, INC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

WEALTH WATCH ADVISORS, INC

COLORADO FINANCIAL SERVICE CORPORATION

ESSENTRIA FINANCIAL EXPERIENCE, LLC

FORTUNE FINANCIAL SERVICES, INC.

SUCRE'-VAIL WEALTH ADVISORS

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

ADVANTAGE CAPITAL CORPORATION

AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2005

SIE

Date: 9/12/2018

Series 6

Date: 4/28/2018

Series 7

Date: 9/30/2005

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors