Benjamin M. Rooks
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 Michael Weene Rooks, who also goes by Benjamin M W Rooks, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1994. Benjamin had worked at 6 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 23, 2010 - February 11, 2013
MARCH CAPITAL CORP.
March 3, 2005 - April 8, 2009
WILLIAM BLAIR
April 16, 2003 - February 16, 2005
SHATTUCK HAMMOND PARTNERS LLC
September 16, 1997 - April 30, 2002
CIBC WORLD MARKETS CORP.
January 15, 1996 - September 10, 1997
VECTOR SECURITIES INTERNATIONAL, INC.
May 2, 1994 - January 11, 1996
CANACCORD GENUITY LLC
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
MARCH CAPITAL CORP.
CRD#: 24142 / SEC#: , 8-41173
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
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.
