Benjamin M. Tenaglia
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.
Benjamin Michael Tenaglia III was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1989. Benjamin had worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 55, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2016 - February 15, 2019
OAKTREE ADVISORS LLC
July 17, 2013 - September 16, 2015
VALLEY NATIONAL ADVISERS INC
November 4, 2003 - September 9, 2004
COLUMBIA MANAGEMENT ADVISORS, INC.
May 28, 2002 - October 25, 2002
FIS SECURITIES, INC.
October 24, 1989 - May 17, 2000
JANNEY MONTGOMERY SCOTT LLC
Primary Firm SEC Registration
OAKTREE ADVISORS LLC
CRD#: 168271 / SEC#: 801-129908
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: 4/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
OAKTREE ADVISORS LLC
CRD#: 168271 / SEC#: 801-129908
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 548 |
| AUM (Assets Under Management) | $ 179,250,901 |
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.
