Benjamin A. Sithens

SAGEVIEW ADVISORY GROUP

Alpharetta, GA

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CRD#: 4186714

Professional summary

Benjamin Andrew Sithens, who also goes by Ben Sithens, is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Alpharetta, Georgia and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Benjamin has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Sithens

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.

NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY GROUP, LLC CRD #126777, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: ADVISORY SERVICES, POSITION/TITLE/RELATIONSHIP: IAR, START DATE: 05/2024, APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Andrew Sithens's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 24, 2024 - Present

SAGEVIEW ADVISORY GROUP, LLC

RIA

CRD#: 126777

Alpharetta, GA

Current

July 11, 2017 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 4000 Mac Arthur Blvd, Suite 1050, Newport Beach, CA 92660

CRD#: 13572

Newport Beach, CA

Past

January 28, 2020 - March 27, 2024

ALLIANT RETIREMENT CONSULTING

RIA

CRD#: 167970

Alpharetta, GA

Past

June 10, 2010 - July 25, 2017

LPL FINANCIAL LLC

CRD#: 6413

ALPHARETTA, GA

Past

April 3, 2007 - May 26, 2010

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

ATLANTA, GA

Past

July 18, 2006 - March 1, 2007

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

ATLANTA, GA

Past

January 2, 2003 - September 12, 2005

KNIGHT BONDPOINT, INC.

CRD#: 102580

ATLANTA, GA

Past

August 17, 2000 - January 13, 2003

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

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".

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(4/12/2024)

Georgia
(7/11/2017)

IAR

Georgia
(4/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/13/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/30/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/11/2004

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

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Contact information

Main Address

4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660

Mailing Address

Phone number

(800) 814-8742

Established

Firm type

Fiscal year end

# of Employees

248

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGEVIEW ADVISORY GROUP ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13,295
AUM (Assets Under Management)	$ 238,552,018,915

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.

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Benjamin A. Sithens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Andrew Sithens's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

ALLIANT RETIREMENT CONSULTING

LPL FINANCIAL LLC

VOYA FINANCIAL PARTNERS, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

KNIGHT BONDPOINT, INC.

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

SAGEVIEW ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/13/2020

Series 63

Date: 8/30/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2000

Series 53

Date: 3/11/2004

FINRA

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGEVIEW ADVISORY GROUP, LLC

TRUST BUT VERIFY

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