Benjamin S. Brainard

SEACREST WEALTH MANAGEMENT

MEDFORD, OR 97504

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CRD#: 4274774

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 Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Stuart Brainard

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) SEACREST WEALTH MANAGEMENT; INVESTMENT RELATED; START DATE MARCH 27, 2009; 120 HOURS/ MONTH MOSTLY DURING TRADING HOURS; REGISTERED INVESTMENT ADVISOR; LOCATED AT 3255 HILLCREST PARK DRIVE, SUITE 108, MEDFORD OR 97054 2) AGH INC D/B/A ASHLAND GREENHOUSES; OWNER; NOT INVESTMENT-RELATED; LOCATED AT 650 EAST ASHLAND, OR 97530; GREENHOUSE FARM; START DATE 1/2007 -PRESENT; 40 HOURS/ MONTH DEVOTED TO BUSINESS; 0 HOURS DURING TRADING HOURS; GENERAL MAINTENANCE 3) PKS FINANCIAL SERVICES; INVESTMENT RELATED; 80 STATE ST, ALBANY, NY 12207; 3/27/2009-PRESENT; AGENT, FIXED INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Stuart Brainard'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

May 12, 2011 - Present

SEACREST WEALTH MANAGEMENT, LLC

Office #1: 3255 Hillcrest Park Drive Suite 108, Medford, OR 97504

RIA

CRD#: 147092

MEDFORD, OR

Current

March 27, 2009 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 3255 Hillcrest Park Dr. Suite 108, Medford, OR 97504

CRD#: 35747

Medford, OR

Past

April 2, 2007 - April 2, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MEDFORD, OR

Past

April 2, 2007 - April 2, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

MEDFORD, OR

Past

May 1, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MEDFORD, OR

Past

November 17, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

MEDFORD, OR

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".

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA

Registered Investment Advisory firm - (5/12/2008 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.

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

Alaska
(2/27/2013)

California
(2/7/2023)

Idaho
(2/17/2023)

Oregon
(3/27/2009)

IAR

Oregon
(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

State Security Law Exam

IAR

Series 66

Date: 11/29/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/12/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/16/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/20/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/16/2005

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA

Registered Investment Advisory firm - (5/12/2008 Approved)

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Contact information

Main Address

3000 Westchester Avenue Suite 206, Purchase, NY 10577

Mailing Address

Phone number

(914) 502-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEACREST WEALTH MANAGEMENT, LLC DISCLOSURE BROCHURE (10/23/2025)

Regulatory assets under management

Total Number of Accounts	3,945
AUM (Assets Under Management)	$ 1,561,182,425

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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Advisor Monitoring

Firm Stability Insights

Benjamin S. Brainard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Stuart Brainard's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SEACREST WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/29/2000

SIE

Date: 10/1/2018

Series 31

Date: 12/12/2000

Series 7

Date: 11/16/2000

Series 10

Date: 6/20/2005

Series 9

Date: 5/16/2005

FINRA

Current Firm

SEACREST WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEACREST WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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