Benjamin C. Smith
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.
Benjamin Charles Smith, who also goes by Ben Smith, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2000. Benjamin had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2017 - April 17, 2020
ASSETMARK BROKERAGE, LLC
June 23, 2014 - February 2, 2017
FORESIDE FUNDS DISTRIBUTORS LLC
March 21, 2007 - September 6, 2011
ALLSPRING FUNDS DISTRIBUTOR, LLC
March 14, 2002 - March 23, 2005
WELLS FARGO INVESTMENTS, LLC
May 25, 2000 - November 28, 2001
DWS DISTRIBUTORS, INC.
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
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
