Randy C. Benning

BENNING FINANCIAL GROUP

BENICIA, CA 94510

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CRD#: 2280167

Professional summary

Randy Charles Benning, CFP® is a registered financial advisor currently at BENNING FINANCIAL GROUP, LLC located in Benicia, California.

Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Randy has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

RANDY C. BENNING (INSURANCE); NON-INVESTMENT RELATED; BENICIA, CA; INSURANCE; BROKER/OWNER; 1991; 3 HRS/MONTH; NOT DURING TRADING HOURS; COMPENSATION-COMMISSIONS; APPOINTED WITH SEVERAL CARRIERS; ACCESS NEED, OBTAIN QUOTES, REVIEW WITH PROSPECT/CLIENT, WRITE APPLICATION, HAVE IT UNDERWRITTEN AND ISSUED, DELIVER CONTRACT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Charles Benning'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

October 29, 2002 - Present

BENNING FINANCIAL GROUP, LLC

Office #1: 560 First Street Suite C-107, Benicia, CA 94510

RIA

CRD#: 136256

BENICIA, CA

Past

December 15, 2008 - December 31, 2017

TRIAD ADVISORS LLC

CRD#: 25803

FAIRFIELD, CA

Past

November 15, 2002 - December 15, 2008

EPLANNING SECURITIES, INC.

CRD#: 46000

FAIRFIELD, CA

Past

October 25, 1999 - November 19, 2002

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

FAIRFIELD, CA

Past

January 13, 1993 - November 19, 2002

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/29/2002)

IAR

Texas
(12/7/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/13/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/25/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/11/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BENNING FINANCIAL GROUP, LLC

CRD#: 136256 / SEC#: 801-66741

RIA

Registered Investment Advisory firm - (4/16/2012 Terminated)

California

Registered Investment Advisory firm - (4/13/2012 Approved)

Texas

Registered Investment Advisory firm - (12/2/2022 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

560 First Street Suite C-107, Benicia, CA 94510

Mailing Address

Phone number

(707) 426-3700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	225
AUM (Assets Under Management)	$ 90,032,690

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.

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Advisor Monitoring

Firm Stability Insights

Randy C. Benning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Charles Benning's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD ADVISORS LLC

EPLANNING SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/1999

Series 63

Date: 1/13/1993

SIE

Date: 12/31/2017

Series 7

Date: 8/25/1999

Series 6

Date: 1/11/1993

Current Firm

BENNING FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BENNING FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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