Chad M. Bennett
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.
Chad Michael Bennett was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 1998. Chad had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2011 - May 10, 2024
CRAIG-HALLUM CAPITAL GROUP LLC
January 3, 2007 - September 14, 2011
NORTHLAND SECURITIES, INC.
November 5, 2002 - December 31, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
December 4, 2001 - September 23, 2002
HD BROUS & CO., INC.
January 1, 2001 - November 30, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
July 26, 1999 - January 1, 2001
JOHN G. KINNARD AND COMPANY, INCORPORATED
December 9, 1998 - July 26, 1999
IDS LIFE INSURANCE COMPANY
December 9, 1998 - July 26, 1999
AMERIPRISE FINANCIAL 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
Exams
Current Firm
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
