Benson Lake
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 Lake, who also goes by Ben Lake, was a registered financial professional .
Benson is a previously registered financial professional and started their career in finance in 1971. Benson had worked at 6 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 1984 - February 22, 1990
JONES FALLS SECURITIES INC.
February 22, 1982 - November 30, 1982
MILBROOK SECURITIES CO., INC.
October 26, 1979 - June 3, 1981
THOMSON MCKINNON SECURITIES INC.
December 13, 1973 - November 8, 1979
C. T. WILLIAMS & CO., INC.
April 3, 1973 - October 10, 1973
APACHE PROGRAMS, INC.
January 13, 1971 - December 24, 1972
FELDMAN SALKIN WELCH & WINER 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
Exams
Series 1
Date: 11/1/1962
Registered Representative ExaminationCurrent Firm
JONES FALLS SECURITIES INC.
CRD#: 1437 / SEC#: , 8-15985
Contact information
Documents
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.
