Benjamin M. Utt
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 Utt was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1988. Benjamin had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, Series 7, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2025 - August 7, 2025
464 CAPITAL PARTNERS, LLC
August 27, 2013 - November 8, 2024
INVESCO ADVISERS, INC.
December 7, 2007 - November 8, 2024
INVESCO DISTRIBUTORS, INC.
July 15, 2005 - December 7, 2007
AT INVESTOR SERVICES, INC.
January 1, 1999 - July 15, 2005
GPC SECURITIES, INC.
July 10, 1996 - January 1, 1999
INVESCO DISTRIBUTORS, INC.
August 12, 1994 - May 30, 1996
WELLS FARGO SECURITIES INC.
June 21, 1988 - August 26, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
464 CAPITAL PARTNERS, LLC
CRD#: 335354 / SEC#:
Contact information
Red Flags
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