Benson C. Su
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.
Benson Cheng Su, who also goes by Ben Cheng Su, Ben Su, Benson Su, Se Chi Su, was a registered financial professional .
Benson is a previously registered financial professional and started their career in finance in 1994. Benson had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2013 - October 6, 2015
VOYA FINANCIAL ADVISORS, INC.
October 10, 2013 - October 6, 2015
VOYA FINANCIAL ADVISORS, INC.
May 23, 2013 - July 25, 2013
SECURITIES AMERICA ADVISORS, INC.
May 23, 2013 - July 25, 2013
SECURITIES AMERICA, INC.
January 6, 2012 - November 8, 2012
CASTLE GROUP INVESTMENT COUNSEL, INC.
January 4, 2012 - November 8, 2012
FORTUNE SECURITIES, INC.
October 12, 2010 - December 31, 2011
KEY WEST INVESTMENTS, LLC
October 12, 2010 - December 31, 2011
KEY WEST INVESTMENTS, LLC
January 24, 2005 - September 17, 2010
PRUCO SECURITIES, LLC.
October 10, 2003 - September 17, 2010
PRUCO SECURITIES, LLC.
August 18, 1999 - August 29, 2003
NEW ENGLAND SECURITIES
May 3, 1999 - November 3, 2000
PARK AVENUE SECURITIES LLC
December 4, 1998 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
November 15, 1994 - November 10, 1998
METROPOLITAN LIFE INSURANCE COMPANY
November 15, 1994 - November 10, 1998
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
