Benjamin D. Bartel
Professional summary
Benjamin Daniel Bartel, who also goes by Ben Bartel, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Bloomington, Minnesota.
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 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Daniel Bartel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2005 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: Normandale Lake Office Park 8300 Norman Center Drive, Suite 160, Bloomington, MN 55437April 1, 2005 - November 16, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
May 11, 2000 - December 9, 2002
PRUCO SECURITIES, LLC.
August 6, 1997 - April 12, 2000
CRI SECURITIES, LLC
August 6, 1997 - April 12, 2000
SECURIAN FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/2022)
(3/8/2022)
(3/8/2022)
(3/8/2022)
(3/8/2022)
(1/31/2025)
(3/8/2022)
(3/8/2022)
Exams
Series 99TO
Date: 8/28/2024
Operations Professional ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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