Steve C. Benson
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.
Steve Craig Benson, who also goes by Steve C Benson, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1990. Steve had worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2018 - January 3, 2019
NOBLES & RICHARDS, INC.
March 2, 2018 - September 17, 2018
TEXAS SECURITIES, INC.
September 6, 2017 - February 28, 2018
DOUGLAS SCOTT SECURITIES, INC.
November 28, 1997 - October 14, 2013
GRAND FINANCIAL, INC.
June 25, 1992 - March 1, 1994
GRAND FINANCIAL, INC.
August 22, 1991 - June 2, 1992
TOUCHSTONE CAPITAL CORPORATION
April 9, 1990 - June 13, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 9, 1990 - June 13, 1990
SIGNATOR INVESTORS, 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
Current Firm
NOBLES & RICHARDS, INC.
CRD#: 146870 / SEC#: , 8-67859
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
