FB
Franklin S. Bennett
STIFEL, NICOLAUS & COMPANY
Canfield, OH 44406
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CRD#: 3104054
FB
Professional summary
Franklin Seaton Bennett JR, who also goes by Franklin Seaton Bennett, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Canfield, Ohio and STIFEL INDEPENDENT ADVISORS, LLC located in Poland, Ohio.
Franklin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Franklin has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Franklin Seaton Bennett
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.
1. C.C. Choffin Trust; Atrium Level Two, 201 E. Commerce St., Youngstown, OH 44503; Charitable trust; Co-trustee; Review trust investments, meet with Superintendent of Choffin Career Center a vocational high school in Youngstown, Ohio regarding distribution requests; 01/02/1995; 20 Hours per Year; During securities trading hours; Not Investment-Related. 2. William B Pollack Company Foundation; 1111 Polaris Parkway, FI 1C, Columbus, OH 43240; Charitable Foundation; Co-trustee; Review grant proposals received by the trust and vote with the corporate trustee on distributions; 01/31/1992; 3 Hours per Month; Not during securities trading hours; Not Investment-Related. 3. W.B. & K.C. Pollock Foundation; 1111 Polaris Parkway, FI 1C, Columbus, OH 43240; Foundation; Co-trustee; Review grant requests and vote with co-trustee JP Morgan Trust Company on distributions; 01/02/1991; 40 Hours per Year; Not during securities trading hours; Not Investment-Related. 4. Poland Cemetery Association; 110 Riverside Drive, Poland, OH 44514; Cemetery; Co-trustee; 1 of 11 co-trustees that oversee the high-level administration, care, maintenance and operation of Poland Riverside Cemetery; 02/02/1991; 20 Hours per Year; Not during securities trading hours; Not Investment-Related. 5. John E. Wallis & Elizabeth C. Wallis Foundation; 42 McClurg Road, Youngstown, OH 44512; Charitable Foundation; Co-trustee; Review trust investments & approve distributions; 11/04/1996; 2 Hours per Quarter; Not during securities trading hours; Not Investment-Related. 6. The Butler Institute of American Art; 524 Wick Avenue Youngstown OH 44502; Art Museum; Finance Committee Chairperson; Chair bimonthly meeting of the Finance Committee of the BIAA board of trustees; 09/14/2023; 36.00hrs/year; During securities trading hours; Not Investment-Related 7. The Butler Institute of American Art; 524 Wick Avenue Youngstown OH 44502; Art museum; Trustee; Serve on 30-member board of trustees; 09/08/2023; 30.00hrs/year; Not during securities trading hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Franklin Seaton Bennett JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Franklin Seaton Bennett JR'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®
NoneExperience
Current
September 24, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3685 Stutz Drive-suite 201, Canfield, OH 44406RIA
BD
CRD#: 793
Canfield, OH
Current
October 1, 2021 - Present
STIFEL INDEPENDENT ADVISORS, LLC
RIA
BD
CRD#: 28218
Poland, OH
Current
September 22, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3685 Stutz Drive-suite 201, Canfield, OH 44406RIA
BD
CRD#: 793
Canfield, OH
Current
September 29, 2021 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: One Financial Plaza 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
ST. LOUIS, MO
Past
August 13, 2009 - November 30, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
BOARDMAN, OH
Past
August 13, 2009 - November 30, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
BOARDMAN, OH
Past
June 6, 2003 - June 10, 2009
BUTLER, WICK & CO., INC.
RIA
CRD#: 120
YOUNGSTOWN, OH
Past
January 8, 1999 - August 10, 2009
BUTLER, WICK & CO., INC.
BD
CRD#: 120
YOUNGSTOWN, OH
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Ohio(9/24/2021)
IAR
Ohio(9/24/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Canfield, OH 44406TRUST BUT VERIFY
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