Benjamin Stuart Brainard
Professional Summary
Benjamin Stuart Brainard, who also goes by Ben Stuart Brainard, is a registered financial advisor currently at SEACREST WEALTH MANAGEMENT, LLC located in Medford, Oregon and PURSHE KAPLAN STERLING INVESTMENTS located in Medford, Oregon. 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 4 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ben Stuart Brainard
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
SEACREST WEALTH MANAGEMENT, LLC
Contact Information
Main Address
3000 Westchester Avenue Suite 206, Purchase, NY 10577Phone Number
(914) 502-1900# of Employees
47SEC notice filing (40 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,417AUM (Assets Under Management)
$1,533,465,779Similar Advisors
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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.
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Primary Firm SEC Registration
SEACREST WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(2/27/2013)
(2/7/2023)
(2/17/2023)
(3/27/2009)
(5/12/2011)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2005About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2005About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Stuart Brainard's CRS (Customer Relationship Summary).
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