WH
William Benjamin D. Herritage
CETERA INVESTMENT ADVISERS LLC
COLUMBIA, SC 29210
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CRD#: 4027113
WH
Professional summary
William Benjamin Dusenbury Herritage, who also goes by Ben Herritage, W. Benjamin Dusenbury Herritage, William Herritage, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Columbia, South Carolina and CETERA ADVISORS LLC located in Columbia, South Carolina.
William Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. William Benjamin has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Herritage | W. Benjamin Dusenbury Herritage | William Herritage
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/1999 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: CAPITAL FIANANCIAL PARTNERS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE START DATE: 08/2005 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES 3. NAME OF OTHER BUSINESS: CAPITAL FINANCIAL PARTNERS, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE AGENCY START DATE: 04/2018 POSITION/TITLE/RELATIONSHIP: CO-OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: OVERSEE STAFF 4. NAME OF OTHER BUSINESS: CAPITAL FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2025 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 35 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view William Benjamin Dusenbury Herritage'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
February 18, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 388 St Andrews Rd, Columbia, SC 29210RIA
CRD#: 105644
COLUMBIA, SC
Current
February 18, 2025 - Present
CETERA ADVISORS LLC
Office #1: 388 St Andrews Rd, Columbia, SC 29210BD
CRD#: 10299
COLUMBIA, SC
Past
August 20, 2019 - February 21, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
COLUMBIA, SC
Past
August 20, 2019 - February 21, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
COLUMBIA, SC
Past
July 27, 2012 - August 21, 2019
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
COLUMBIA, SC
Past
December 6, 2010 - June 20, 2012
BROOKSTONE SECURITIES, INC.
BD
CRD#: 13366
COLUMBIA, SC
Past
August 12, 2008 - December 3, 2010
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
COLUMBIA, SC
Past
August 31, 2005 - August 13, 2008
LIFEMARK SECURITIES CORP.
BD
CRD#: 16204
ROCHESTER, NY
Past
August 24, 2005 - December 31, 2019
CAPITAL FINANCIAL PARTNERS, INC
RIA
CRD#: 169796
COLUMBIA, SC
Past
September 7, 2004 - September 9, 2005
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
COLUMBIA, SC
Past
February 2, 2000 - September 9, 2005
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
Alabama(2/24/2025)
RR
Georgia(2/20/2025)
RR
Nevada(2/21/2025)
RR
New York(3/25/2025)
RR
North Carolina(2/27/2025)
RR
South Carolina(2/21/2025)
IAR
South Carolina(2/21/2025)
RR
Texas(2/18/2025)
IAR
Texas(2/18/2025)
RR
Virginia(3/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Columbia, SC 29210TRUST BUT VERIFY
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