BL
Benjamin A. Lincoln
REDWOOD WEALTH MANAGEMENT
SANTA MONICA, CA 90401
Some features on this profile are disabled
CRD#: 4701280
BL
Professional summary
Benjamin Asher Lincoln, who also goes by Benjamin Lincoln, is a registered financial advisor currently at REDWOOD WEALTH MANAGEMENT, LLC located in Santa Monica, California.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Benjamin has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benjamin Lincoln
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. Redwood Wealth Management, 429 Santa Monica Blvd, Ste 350, Santa Monica, CA, President started 11/2014, Not investment related, Nature of business: bill pay, 5 hours/month during securities trading hours, Duties include Send/receive LOA's in order to assist with payments from custodian to vendor.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Asher Lincoln'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 19, 2014 - Present
REDWOOD WEALTH MANAGEMENT, LLC
Office #1: 100 Wilshire Blvd Suite 260, Santa Monica, CA 90401RIA
CRD#: 173916
SANTA MONICA, CA
Past
December 7, 2007 - December 18, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHARLOTTE, NC
Past
December 7, 2007 - December 18, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
Past
July 7, 2004 - December 14, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
CHARLOTTE, NC
Past
May 10, 2004 - December 14, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
CHARLOTTE, NC
Past
December 19, 2003 - April 19, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
RW
REDWOOD WEALTH MANAGEMENT, LLC
COMPLIANCE STAFFING, LLC | REDWOOD WEALTH MANAGEMENT, LLC | REDWOOD WEALTH MANAGEMENT | REDWOOD HOLDINGS, LLC
CRD#: 173916 / SEC#: 801-117866
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)California
Registered Investment Advisory firm - (2/8/2020 Terminated)Florida
Registered Investment Advisory firm - (1/9/2020 Terminated)Georgia
Registered Investment Advisory firm - (2/21/2020 Terminated)Louisiana
Registered Investment Advisory firm - (1/10/2020 Terminated)Michigan
Registered Investment Advisory firm - (1/10/2020 Terminated)North Carolina
Registered Investment Advisory firm - (1/28/2020 Terminated)Ohio
Registered Investment Advisory firm - (1/10/2020 Terminated)South Carolina
Registered Investment Advisory firm - (1/9/2020 Terminated)Texas
Registered Investment Advisory firm - (1/9/2020 Terminated)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.Highlighted states indicate IAR registrations
IAR
California(5/12/2017)
IAR
Louisiana(1/12/2015)
IAR
Michigan(12/18/2014)
IAR
North Carolina(1/8/2015)
IAR
Ohio(3/11/2016)
IAR
Texas(11/19/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RW
REDWOOD WEALTH MANAGEMENT, LLC
COMPLIANCE STAFFING, LLC | REDWOOD WEALTH MANAGEMENT, LLC | REDWOOD WEALTH MANAGEMENT | REDWOOD HOLDINGS, LLC
CRD#: 173916 / SEC#: 801-117866
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)California
Registered Investment Advisory firm - (2/8/2020 Terminated)Florida
Registered Investment Advisory firm - (1/9/2020 Terminated)Georgia
Registered Investment Advisory firm - (2/21/2020 Terminated)Louisiana
Registered Investment Advisory firm - (1/10/2020 Terminated)Michigan
Registered Investment Advisory firm - (1/10/2020 Terminated)North Carolina
Registered Investment Advisory firm - (1/28/2020 Terminated)Ohio
Registered Investment Advisory firm - (1/10/2020 Terminated)South Carolina
Registered Investment Advisory firm - (1/9/2020 Terminated)Texas
Registered Investment Advisory firm - (1/9/2020 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
100 Wilshire Blvd Suite 260, Santa Monica, CA 90401
Mailing Address
Phone number
(888) 552-1905
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 434 |
| AUM (Assets Under Management) | $ 493,000,000 |
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.
