Benjamin L. Caron
Professional summary
Benjamin Lucien Caron, CFA is a registered financial professional currently at VP DISTRIBUTORS LLC located in Hartford, Connecticut.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1997. Benjamin has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Lucien Caron's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2013 - Present
VP DISTRIBUTORS LLC
Office #1: One Financial Plaza, Hartford, CT 06103September 24, 2010 - June 7, 2011
1851 SECURITIES, INC
February 4, 2009 - September 22, 2010
AXCELUS FINANCIAL DISTRIBUTION COMPANY
December 10, 2002 - February 4, 2009
VP DISTRIBUTORS LLC
November 3, 1999 - November 21, 2002
STRATEGIC ADVISERS LLC
June 20, 1997 - November 13, 2002
FIDELITY BROKERAGE SERVICES 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
(5/22/2013)
Exams
FINRA
Current Firm
VP DISTRIBUTORS LLC
CRD#: 3036 / SEC#: , 8-14100
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VIRTUS PARTNERS, INC | SOLE MEMBER | |
| BACHRACH, IAN | SENIOR MANAGING DIRECTOR, MARKETING | 2797509 |
| BICKS, MICHAEL WAYNE | MANAGING DIRECTOR, DISTRIBUTION INTELLIGENCE | 5450963 |
| DANOS, CHRISTOPHER ROBERT | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2716625 |
| FRANCO, THOMAS RICHARD | SENIOR MANAGING DIRECTOR, RETAIL SALES | 2651546 |
| GRISWOLD, HEIDI CHRISTINE | VICE PRESIDENT, FUND SERVICES | 2304631 |
| HANLEY, DAVID GEORGE JR | SENIOR VICE PRESIDENT AND TREASURER | 5455435 |
| KATZ, DAVID JAY | SENIOR MANAGING DIRECTOR, INSTITUTIONAL | 2813039 |
| MACCONE, JOSEPH EDMUND | SENIOR MANAGING DIRECTOR, STRATEGIC DISTRIBUTION | 4273677 |
| MANDINACH, BARRY MITCHELL | EXECUTIVE VICE PRESIDENT | 1234185 |
| MAROSITS, TIFFANY PAIGE | VICE PRESIDENT, SENIOR REGULATORY COUNSEL AND ASSISTANT SECRETARY | 6507868 |
| PERLMAN, DIANA MARIE | CHIEF COMPLIANCE OFFICER | 2555302 |
| PURKALITIS, ANDRA CYNTHIA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 3070864 |
Disclosures
| Regulatory Event | 1 |
| Bond | 3 |
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.
