Kevin N. Benjamin
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.
Kevin N Benjamin, who also goes by Kevin N Benjamin, Kevin Neil Benjamin, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1991. Kevin had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2021 - March 20, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 2021 - March 20, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 2018 - January 29, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 2018 - January 29, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
September 1, 2017 - September 24, 2018
INVESTMENT PROFESSIONALS, INC.
September 1, 2017 - September 24, 2018
INVESTMENT PROFESSIONALS, INC.
February 1, 2017 - September 7, 2017
THE HUNTINGTON INVESTMENT COMPANY
February 1, 2017 - September 7, 2017
THE HUNTINGTON INVESTMENT COMPANY
July 11, 2014 - February 1, 2017
LPL FINANCIAL LLC
July 10, 2014 - February 1, 2017
LPL FINANCIAL LLC
January 2, 2013 - July 7, 2014
FIFTH THIRD SECURITIES, INC.
December 20, 2012 - July 7, 2014
FIFTH THIRD SECURITIES, INC.
October 5, 2009 - December 20, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - December 20, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
June 26, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
June 20, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 29, 2007 - July 2, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - July 2, 2008
CITIGROUP GLOBAL MARKETS INC.
May 21, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 21, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 20, 2003 - May 18, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
January 23, 2003 - May 18, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
October 22, 2002 - January 30, 2003
IFMG SECURITIES, INC.
February 6, 1998 - October 18, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
April 26, 1991 - October 18, 2002
IDS LIFE INSURANCE COMPANY
April 26, 1991 - October 18, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
Monitor Kevin Benjamin
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