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WB

Wesley A. Bennett

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CRD#: 2254995
WB

Professional summary

Wesley Arthur Bennett JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Wesley is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Wesley had worked at 2 firms, which includes SOGOTRADE INC., BLACKLAKE SECURITIES CORPORATION.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wesley Arthur Bennett

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

April 7, 2005 - October 18, 2005

SOGOTRADE, INC.

BD
CRD#: 17912
CHESTERFIELD, MO
Past

December 15, 2000 - March 16, 2005

BLACKLAKE SECURITIES CORPORATION

BD
CRD#: 104128
NEW YORK, NY

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: 12/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/26/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/6/1997
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/12/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/7/2000
General Securities Principal Examination

Current Firm

SI
SOGOTRADE, INC.
COASTAL INVESTMENTS ASSOCIATES LTD. | WANG INVESTMENTS | WANG INVESTMENT ASSOCIATES, INC. | SOGOTRADE, INC. | SOGOTRADE | COASTAL INVESTMENTS ASSOCIATES, LTD.

CRD#: 17912 / SEC#: , 8-35930

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1 Mcbride And Son Center Drive Suite 288, Chesterfield, MO 63005
Mailing Address
1 Mcbride And Son Center Drive Suite 288, Chesterfield, MO 63005
Phone number
(646) 885-6486
Established
Delaware since 12/16/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOGO FINANCIAL MANAGEMENT, LLCSHAREHOLDER
CONNOR, RICHARD BRIANCHIEF OPERATIONS OFFICER2364764
FRIEDMAN, TIMOTHY NATHANCHIEF AML OFFICER1967603
MANDERS, PATRICKCHIEF COMPLIANCE OFFICER6658729
SAKOL, DANIEL SCOTTFINOP2813237
WALLACE, KRISTOPHER ALEXANDERCHIEF EXECUTIVE OFFICER2363185

Disclosures

Regulatory Event8
Arbitration1

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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Company Information

SOGOTRADE, INC.

CRD#: 17912

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