BP
Benjamin W. Payne
VICUS CAPITAL
State College, PA 16801
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CRD#: 4556824
BP
Professional summary
Benjamin Westphal Payne is a registered financial advisor currently at VICUS CAPITAL, INC. located in State College, Pennsylvania and CETERA WEALTH SERVICES, LLC located in State College, Pennsylvania.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Benjamin has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: VICUS CAPITAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADMINISTRATIVE AND COMPLIANCE ASSISTANCE FOR THE CHIEF COMPLIANCE OFFICER OF THE RIA POSITION/TITLE/RELATIONSHIP: FINANCIAL SERVICES COMPLIANCE ASSOCIATE START DATE: 7/2019 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: WORK DIRECTLY WITH THE CHIEF COMPLIANCE OFFICER AND THE COMPLIANCE TEAM BY ASSISTING ASSOCIATES WITH COMPLIANCE SUPPORT FOR NEW BUSINESS SUBMISSION, REGULATORY REGISTRATIONS, AND POLICIES AND PROCEDURES FOR OUR BROKER-DEALER AND SEC REGISTERED INVESTMENT ADVISOR 2. NAME OF OTHER BUSINESS: PFG INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADMINISTRATIVE AND COMPLIANCE ASSISTANCE FOR THE CHIEF COMPLIANCE OFFICER OF THE RIA POSITION/TITLE/RELATIONSHIP: FINANCIAL SERVICES COMPLIANCE ASSOCIATE START DATE: 7/2019 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: WORK DIRECTLY WITH THE CHIEF COMPLIANCE OFFICER AND THE COMPLIANCE TEAM BY ASSISTING ASSOCIATES WITH COMPLIANCE SUPPORT FOR NEW BUSINESS SUBMISSION, REGULATORY REGISTRATIONS, AND POLICIES AND PROCEDURES FOR OUR BROKER-DEALER AND SEC REGISTERED INVESTMENT ADVISOR 3. NAME OF OTHER BUSINESS: QUISSANA TRUST INVESTMENT RELATED: NO ADDRESS: 4760 SOUTH MENETH DRIVE, CANANDAIGUA, NY 14424 NATURE OF BUSINESS: OWNERSHIP OF PROPERTY POSITION/TITLE/RELATIONSHIP: TRUSTEE START DATE: 11/2017 APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR A WEEK APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 HOUR A WEEK BRIEF DESCRIPTION OF DUTIES: TRUSTEE WITH THE DUTY OF MAINTENANCE OF RESERVATION SYSTEM FOR OWNERS 4. NAME OF OTHER BUSINESS: SAINT MILLIE, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: LLC; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MAINTAIN & MANAGE ACTIVITIES OF PROPERTIES HELD BY LLC;
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Westphal Payne's 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®
NoneExperience
Current
November 8, 2019 - Present
VICUS CAPITAL, INC.
Office #1: 476 Rolling Ridge Drive Suite 333, State College, PA 16801RIA
CRD#: 116021
State College, PA
Current
July 30, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 476 Rolling Ridge Dr Ste 333, State College, PA 16801BD
CRD#: 13572
State College, PA
Past
September 30, 2016 - January 8, 2019
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
November 18, 2009 - March 14, 2014
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
November 18, 2009 - September 30, 2016
E*TRADE CLEARING LLC
BD
CRD#: 25025
Jersey City, NJ
Past
February 6, 2006 - July 6, 2009
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
February 14, 2005 - January 25, 2006
FREEDOM INVESTMENTS, INC.
BD
CRD#: 37674
EDISON, 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".
VC
VICUS CAPITAL, INC.
PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK
CRD#: 116021 / SEC#: 801-60628
RIA
Registered Investment Advisory firm - (10/5/2001 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.RR
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
RR
Pennsylvania(7/30/2019)
IAR
Pennsylvania(11/8/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VICUS CAPITAL, INC.
PFG FINANCIAL ADVISORS | VICUS CAPITAL, INC. | PFG FINANCIAL ADVISORS NETWORK
CRD#: 116021 / SEC#: 801-60628
RIA
Registered Investment Advisory firm - (10/5/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
476 Rolling Ridge Drive Suite 315, State College, PA 16801
Mailing Address
Phone number
(855) 558-4287
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,058 |
| AUM (Assets Under Management) | $ 2,574,468,218 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
