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JB

Joseph D. Benter

Some features on this profile are disabled
CRD#: 2169897
JB

Professional summary

Joseph Daniel Benter was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Joseph had worked at 2 firms, which includes PROFESSIONAL INVESTMENT SERVICES INC., CHAPMAN SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Benter

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 7, 2003 - April 17, 2003

PROFESSIONAL INVESTMENT SERVICES, INC.

BD
CRD#: 13703
WINFIELD, KS
Past

July 25, 2002 - October 22, 2002

PROFESSIONAL INVESTMENT SERVICES, INC.

BD
CRD#: 13703
WINFIELD, KS
Past

July 10, 1998 - July 29, 2002

CHAPMAN SECURITIES, INC.

RIA
CRD#: 25688
WICHITA, KS
Past

September 3, 1991 - July 29, 2002

CHAPMAN SECURITIES, INC.

BD
CRD#: 25688
WICHITA, KS

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/2003
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/17/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/3/1996
Registered Options Principal Examination

Current Firm

PI
PROFESSIONAL INVESTMENT SERVICES, INC.
DON HOWARD EHLING | PROFESSIONAL INVESTMENT SERVICES, INC. | PROFESSIONAL INVESTMENT SERVICES

CRD#: 13703 / SEC#: , 8-29657

BD
Terminated by SEC on 02/21/2010
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Kansas since 10/01/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
EHLING, DON HOWARDPRESIDENT76203
EHLING, DON HOWARDCHIEF COMPLIANCE OFFICER76203
BARRETT, MORLYN WINFREDVICE-PRESIDENT13445

Disclosures

Regulatory Event6

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

PROFESSIONAL INVESTMENT SERVICES, INC.

CRD#: 13703

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