Benton L. Moyer
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.
Benton Leslie Moyer, who also goes by Ben L Moyer, was a registered financial professional .
Benton is a previously registered financial professional and started their career in finance in 1997. Benton had worked at 3 firms and has passed the Series 63, Series 65 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
July 23, 2002 - November 30, 2011
WFS, LLC
January 1, 2002 - February 11, 2013
WAINWRIGHT INVESTMENT COUNSEL LLC
August 7, 2001 - August 22, 2002
H.C.WAINWRIGHT & CO., LLC
October 21, 1997 - November 18, 1999
H.C.WAINWRIGHT & CO., 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
WFS, LLC
CRD#: 116778 / SEC#: , 8-53565
Contact information
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WAINWRIGHT INVESTMENT COUNSEL, LLC | SHAREHOLDER | |
| ARISTIZABAL, GUSTAVO ADOLFO | CEO, BRANCH OFFICE MANAGER | 2735053 |
| LEONARD, MARGARET LORENE | CHIEF COMPLIANCE OFFICER | 2054939 |
| MARTINS, PAUL GEORGE | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 1189296 |
| SIRACUSE, MICHAEL WILLIAM, III | PRINCIPAL OPERATIONS OFFICER | 4342076 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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