Benjamin R. Bricken
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.
Benjamin Rush Bricken, who also goes by Rush Bricken, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1992. Benjamin had worked at 7 firms and has passed the Series 63 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
March 6, 2009 - March 13, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 27, 2009 - March 13, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 12, 2008 - February 4, 2009
INVESTMENT PROFESSIONALS, INC.
August 4, 2008 - February 4, 2009
INVESTMENT PROFESSIONALS, INC.
July 12, 2004 - April 21, 2009
FINANCIAL MANAGEMENT ADVISORS, INC.
November 15, 2001 - August 29, 2006
SECURITIES SERVICE NETWORK, LLC
September 6, 2001 - November 28, 2001
AVANTAX INVESTMENT SERVICES, INC.
October 14, 1992 - February 19, 1993
TRUSTCORE INVESTMENTS LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
