Marion D. Benedict
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.
Marion Dwaine Benedict, who also goes by Dwaine Benedict, was a registered financial professional .
Marion is a previously registered financial professional and started their career in finance in 1993. Marion had worked at 13 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
May 16, 2013 - December 31, 2018
SPC
May 16, 2013 - December 31, 2018
SIGMA FINANCIAL CORPORATION
August 20, 2012 - May 17, 2013
INDEPENDENT FINANCIAL PARTNERS
August 17, 2012 - June 3, 2013
LPL FINANCIAL LLC
May 26, 2011 - August 20, 2012
WORLD EQUITY GROUP, INC.
May 2, 2011 - July 20, 2012
PEREGRINE DIVERSIFIED INVESTMENT SERVICES CORP.
April 11, 2011 - May 4, 2011
BEST DIRECT SECURITIES, LLC
November 5, 2010 - May 2, 2011
CONCORDIUS CAPITAL ADVISORS
July 9, 2010 - November 5, 2010
BREWER INVESTMENT ADVISORS LLC
July 9, 2010 - November 5, 2010
BREWER FINANCIAL SERVICES, LLC
July 29, 2002 - July 15, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
July 10, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 10, 2001 - July 15, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
August 22, 1997 - December 31, 2000
AMERICAN GENERAL EQUITY SERVICES CORPORATION
June 24, 1993 - September 26, 1995
IDS LIFE INSURANCE COMPANY
June 24, 1993 - September 26, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
