Bennett C. Vig
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.
Bennett Christensen Vig II was a registered financial professional .
Bennett is a previously registered financial professional and started their career in finance in 1999. Bennett had worked at 5 firms and has passed the Series 65, Series 63 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 15, 2024 - February 18, 2025
LEAR INVESTMENT MANAGEMENT
June 17, 2011 - March 18, 2020
ROUNDROCK CAPITAL PARTNERS, L.P.
May 31, 2001 - April 9, 2002
J.P. MORGAN SECURITIES INC.
January 24, 2001 - June 1, 2001
BANC OF AMERICA SECURITIES LLC
September 21, 1999 - December 15, 2000
UBS SECURITIES LLC
Primary Firm SEC Registration
LEAR INVESTMENT MANAGEMENT
CRD#: 174119 / SEC#: 801-110851
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
LEAR INVESTMENT MANAGEMENT
CRD#: 174119 / SEC#: 801-110851
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 305 |
| AUM (Assets Under Management) | $ 805,713,943 |
Red Flags
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