Allan M. Benton
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.
Allan Morton Benton was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1973. Allan had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2000 - August 29, 2023
SMG SECURITIES, INC.
June 4, 1998 - September 18, 2000
STOCK SECURITIES LLC
April 24, 1989 - September 10, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 7, 1976 - June 1, 1987
SALOMON BROTHERS INC.
August 13, 1973 - September 6, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
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 00
Date: 8/9/1973
General Securities Principal ExaminationCurrent Firm
SMG SECURITIES, INC.
CRD#: 17406 / SEC#: , 8-35184
Contact information
FINRA licenses (14 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMG ASSOCIATES, LLC | OWNER | |
| TEPPER, JEFFREY MARK | PRESIDENT & CEO AND CHIEF COMPLIANCE OFFICER | 1215438 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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