Joel T. Bennett
Professional summary
Joel Timothy Bennett is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC located in Clifton Park, New York.
Joel is registered as a RR (Registered Representative) and started their career in finance in 2000. Joel has worked at 16 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joel Timothy Bennett's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 6, 2025 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1593 Rt 9, Clifton Park, NY 12065March 5, 2024 - April 23, 2025
CURI CAPITAL, LLC
February 14, 2023 - December 1, 2023
ELEVATION POINT WEALTH PARTNERS, LLC
August 27, 2020 - June 1, 2021
Q3 ASSET MANAGEMENT CORPORATION
August 20, 2018 - January 16, 2019
SMARTX ADVISORY SOLUTIONS
May 25, 2018 - December 31, 2019
SMARTX ADVISORY SOLUTIONS
February 2, 2016 - April 24, 2018
FREEDOM INVESTMENT MANAGEMENT, INC.
April 27, 2011 - February 27, 2012
RP CAPITAL LLC
April 16, 2008 - April 29, 2009
CETERA FINANCIAL SPECIALISTS LLC
April 8, 2008 - April 29, 2009
CETERA INVESTMENT ADVISERS LLC
April 1, 2008 - April 22, 2008
CAPITAL BROKERAGE CORPORATION
May 6, 2005 - April 1, 2008
ASSETMARK CAPITAL CORPORATION
October 14, 2004 - May 9, 2005
BANC ONE SECURITIES CORPORATION
October 14, 2004 - May 9, 2005
BANC ONE SECURITIES CORPORATION
August 27, 2001 - June 4, 2004
T. ROWE PRICE ADVISORY SERVICES, INC.
June 5, 2001 - June 2, 2004
T. ROWE PRICE INVESTMENT SERVICES, INC.
June 14, 2000 - February 23, 2001
IDS LIFE INSURANCE COMPANY
June 14, 2000 - February 23, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 7TO
Date: 10/6/2025
General Securities Representative ExaminationFINRA
Current Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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