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BM

Benjamin D. Mcculloch

XMS CAPITAL PARTNERS
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 5158098
BM

Professional summary

Benjamin David Mcculloch, who also goes by Benjamin D Mcculloch, is a registered financial professional currently at XMS CAPITAL PARTNERS, LLC located in Chicago, Illinois.

Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2006. Benjamin has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Benjamin D Mcculloch

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin David Mcculloch'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®
None

Experience

Current

May 23, 2023 - Present

XMS CAPITAL PARTNERS, LLC

Office #1: 321 N Clark Street Suite 2440, Chicago, IL 60654
BD
CRD#: 142871
Chicago, IL
Past

January 31, 2020 - February 24, 2023

XMS CAPITAL PARTNERS, LLC

BD
CRD#: 142871
Chicago, IL
Past

January 10, 2013 - January 2, 2015

FIRST TRUST ADVISORS LP

RIA
CRD#: 107027
WHEATON, IL
Past

January 9, 2013 - January 2, 2015

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

August 29, 2007 - April 28, 2008

COMERICA SECURITIES

RIA
CRD#: 17079
DETROIT, MI
Past

August 29, 2007 - April 28, 2008

COMERICA SECURITIES

BD
CRD#: 17079
DETROIT, MI
Past

April 27, 2007 - August 20, 2007

EDWARD JONES

RIA
CRD#: 250
NEW LONDON, CT
Past

July 25, 2006 - August 20, 2007

EDWARD JONES

BD
CRD#: 250
NEW LONDON, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/25/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/27/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/31/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/10/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

XC
XMS CAPITAL PARTNERS, LLC
XMS CAPITAL PARTNERS, LLC

CRD#: 142871 / SEC#: , 8-67502

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
321 N Clark Street Suite 2440, Chicago, IL 60654
Mailing Address
321 N Clark Street Suite 2440, Chicago, IL 60654
Phone number
(312) 262-5642
Established
Delaware since 09/22/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
XMS HOLDINGS LLCHOLDING COMPANY OWNER
BROMBACH, THEODORE JOSEPHMANAGING PARTNER1295389
DUDDLESTON, NICOLE LYNNACCOUNTING MANAGER AND FINOP6122496
SPENCE, JOHN FLINNMANAGING PARTNER, CHIEF COMPLIANCE OFFICER AND AML OFFICER2079237

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.

Company Information

XMS CAPITAL PARTNERS, LLC

CRD#: 142871Chicago, IL 60654

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