Timothy Andrew Bennett
Professional Summary
Timothy Andrew Bennett, who also goes by Drew Bennett, is a registered financial advisor currently at SECURITIES MANAGEMENT & RESEARCH, INC. located in Newark, Ohio. Timothy is registered as a RR (Registered Representative) and started their career in finance in 2007. Timothy has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Timothy Andrew Bennett, Drew Bennett
Similar Advisors
BOFA SECURITIES, INC.
ABRI LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
BOFA SECURITIES, INC.
ABRI LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
BOFA SECURITIES, INC.
ABRI LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
Disclosures on record.
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.
Similar Advisors
BOFA SECURITIES, INC.
ABRI LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
BOFA SECURITIES, INC.
ABRI LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
Current Firm
SECURITIES MANAGEMENT & RESEARCH, INC. | SOUTH SHORE ADVISORS, INC. | SM&R | SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R") | SECURITIES MANAGEMENT AND RESEARCH, INC.
Contact Information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Mailing Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Phone Number
(855) 767-5700Established
Florida since 12/15/1964Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | — |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
Regulatory Event
4Arbitration
1Similar Advisors
BOFA SECURITIES, INC.
ABRI LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
BOFA SECURITIES, INC.
ABRI LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
State Registrations and Notice Filings
(1/19/2022)
(3/1/2018)
(10/2/2007)
(5/10/2019)
(6/11/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2007About the Series 6 examSRO Registrations
Similar Advisors
BOFA SECURITIES, INC.
ABRI LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
CRS (Client Relationship Summary) - BD
Click below to view Timothy Andrew Bennett's CRS (Customer Relationship Summary).
Similar Advisors
BOFA SECURITIES, INC.
ABRI LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY