Thomas H. Benton

DESTRA CAPITAL ADVISORS LLC

Carlsbad, CA

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CRD#: 3085925

Professional summary

Thomas Hart Benton is a registered financial advisor currently at DESTRA CAPITAL ADVISORS LLC located in Carlsbad, California and DESTRA CAPITAL INVESTMENTS LLC located in Laguna Beach, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Hart Benton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 21, 2018 - Present

DESTRA CAPITAL ADVISORS LLC

RIA

CRD#: 148574

Carlsbad, CA

Current

October 9, 2012 - Present

DESTRA CAPITAL INVESTMENTS LLC

CRD#: 148299

Laguna Beach, CA

Past

November 20, 2008 - December 21, 2011

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

October 31, 2005 - November 14, 2008

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

CINCINNATI, OH

Past

May 18, 2004 - May 17, 2005

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

Past

January 27, 2003 - April 20, 2004

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

May 30, 2000 - January 3, 2002

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DESTRA CAPITAL ADVISORS LLC

DESTRA ADVISORS LLC | DESTRACOM ADVISORS LLC | DESTRA CAPITAL ADVISORS LLC

CRD#: 148574 / SEC#: 801-71604

RIA

Registered Investment Advisory firm - (12/30/2010 Approved)

Illinois

Registered Investment Advisory firm - (1/4/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/10/2012)

IAR

California
(2/21/2018)

Hawaii
(12/10/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/11/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/3/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

DESTRA CAPITAL ADVISORS LLC

DESTRA ADVISORS LLC | DESTRACOM ADVISORS LLC | DESTRA CAPITAL ADVISORS LLC

CRD#: 148574 / SEC#: 801-71604

RIA

Registered Investment Advisory firm - (12/30/2010 Approved)

Illinois

Registered Investment Advisory firm - (1/4/2011 Terminated)

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Contact information

Main Address

443 N. Willson Avenue, Bozeman, MT 59715

Mailing Address

Phone number

(877) 855-3434

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 414,203,276

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.

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Firm Stability Insights

Thomas H. Benton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Hart Benton's CRS (Customer Relationship Summary).

Certified licenses

Experience

DESTRA CAPITAL INVESTMENTS LLC

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

TOUCHSTONE SECURITIES, INC.

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

AMUNDI DISTRIBUTOR US, INC.

MFS FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

DESTRA CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/2017

Series 63

Date: 5/23/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2003

Series 6

Date: 4/3/2000

FINRA

Current Firm

DESTRA CAPITAL ADVISORS LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

DESTRA CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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