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WB

William J. Bennington

BRIDGEWATER JAMES LIMITED
Belvedere, CA 94920
Some features on this profile are disabled
CRD#: 2025454
WB

Professional summary

William James Bennington is a registered financial professional currently at BRIDGEWATER JAMES LIMITED, LLC located in Belvedere, California.

William is registered as a RR (Registered Representative) and started their career in finance in 1990. William has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William James Bennington's CRS (Customer Relationship Summary).

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

Current

August 30, 2006 - Present

BRIDGEWATER JAMES LIMITED, LLC

Office #1: 15 Bayview Ave., Belvedere, CA 94920
BD
CRD#: 140205
Belvedere, CA
Past

May 4, 2001 - December 7, 2001

WHITNEY CAPITAL MARKETS LLC

BD
CRD#: 104260
STAMFORD, CT
Past

June 14, 1999 - May 4, 2000

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 1, 1997 - June 14, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

May 15, 1995 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

January 23, 1990 - March 23, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/31/2006)
RR
Connecticut
(9/8/2006)
RR
Illinois
(8/31/2006)
RR
New York
(9/24/2007)

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/6/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BJ
BRIDGEWATER JAMES LIMITED, LLC
BENNINGTON, WILLIAM JAMES | BRIDGEWATER JAMES LIMITED, LLC | BRIDGEWATER JAMES LIMITED

CRD#: 140205 / SEC#: , 8-67293

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
PREMIUM
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Contact information

Main Address
15 Bayview Ave., Belvedere, CA 94920
Mailing Address
15 Bayview Ave., Belvedere, CA 94920
Phone number
(415) 684-9466
Established
California since 01/03/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BENNINGTON, WILLIAM JAMESMANAGING MEMBER, CHIEF COMPLIANCE OFFICER
COLLINS, ELIZABETH SARAHCFO/FINOP4714831

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.

Company Information

BRIDGEWATER JAMES LIMITED, LLC

CRD#: 140205Belvedere, CA 94920

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