Benjamin D. Hassett
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.
Benjamin Daniel Hassett, who also goes by Benjamin D Hassett, Benjamin Daniel Hassett, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2008. Benjamin had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2016 - July 17, 2017
TD AMERITRADE, INC.
March 2, 2016 - July 17, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 2, 2016 - July 17, 2017
TD AMERITRADE, INC.
May 9, 2014 - March 16, 2016
PLATINUM WEALTH PARTNERS
May 9, 2014 - March 31, 2015
MUTUAL SECURITIES, INC.
February 8, 2012 - December 4, 2013
MORGAN STANLEY
February 8, 2012 - December 4, 2013
MORGAN STANLEY
September 29, 2010 - November 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2010 - November 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2009 - June 22, 2010
CHASE INVESTMENT SERVICES CORP.
February 10, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
July 4, 2008 - January 22, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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