John N. Benun
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.
John N Benun, who also goes by John Nace Benun, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 7 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2021 - August 7, 2023
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
January 19, 2016 - July 1, 2021
CAPITAL BANK AND TRUST COMPANY
May 7, 2014 - January 19, 2016
CAPITAL GUARDIAN TRUST COMPANY
February 8, 2011 - April 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 2011 - April 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2009 - December 21, 2010
BNY MELLON SECURITIES CORPORATION
February 25, 2009 - December 21, 2010
BNY MELLON SECURITIES CORPORATION
November 23, 2004 - January 16, 2009
MORGAN STANLEY & CO. LLC
November 23, 2004 - January 16, 2009
MORGAN STANLEY & CO. LLC
May 1, 2002 - November 8, 2004
NORTHERN TRUST SECURITIES, INC.
May 2, 2001 - November 8, 2004
NORTHERN TRUST SECURITIES, INC.
Primary Firm SEC Registration
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
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
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,073 |
| AUM (Assets Under Management) | $ 42,713,999,861 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 07/28/2023 | ||
| 10/26/2022 |
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.
