Baldemar Benavidez
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.
Baldemar Benavidez II, who also goes by Baldemar Benavidez, was a registered financial professional .
Baldemar is a previously registered financial professional and started their career in finance in 1999. Baldemar had worked at 5 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
January 27, 2012 - November 22, 2017
USAA INVESTMENT SERVICES COMPANY
January 27, 2012 - November 22, 2017
USAA INVESTMENT SERVICES COMPANY
July 31, 2009 - January 30, 2012
USAA FINANCIAL PLANNING SERVICES
July 31, 2009 - January 30, 2012
USAA FINANCIAL ADVISORS, INC.
February 24, 2009 - August 12, 2009
USAA INVESTMENT SERVICES COMPANY
February 24, 2009 - August 12, 2009
USAA INVESTMENT SERVICES COMPANY
January 7, 2004 - March 13, 2009
USAA FINANCIAL ADVISORS, INC.
August 2, 1999 - March 13, 2009
USAA FINANCIAL PLANNING SERVICES
July 31, 1999 - December 31, 2003
USAA INVESTMENT SERVICES COMPANY
February 17, 1999 - July 24, 1999
IDS LIFE INSURANCE COMPANY
February 17, 1999 - July 24, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
