Brian S. Benner
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.
Brian Scott Benner was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 8 firms and has passed the Series 65, Series 63, SIE 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 2, 2014 - April 10, 2015
MUTUAL SECURITIES, INC.
June 16, 2014 - September 29, 2017
PLATINUM WEALTH PARTNERS
March 18, 2011 - June 24, 2014
MORGAN STANLEY
March 18, 2011 - June 24, 2014
MORGAN STANLEY
October 12, 2006 - March 21, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 12, 2006 - March 21, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 25, 2006 - October 13, 2006
S & Y ASSET MANAGEMENT LLC
January 5, 2004 - October 13, 2006
STONE & YOUNGBERG LLC
May 29, 2002 - October 13, 2006
STONE & YOUNGBERG LLC
February 1, 2000 - June 21, 2001
J.P. MORGAN SECURITIES INC.
August 20, 1998 - February 1, 2000
HAMBRECHT & QUIST 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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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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