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BB

Benjamin S. Byington

MORETON CAPITAL MARKETS
Salt Lake City, UT 84111
Some features on this profile are disabled
CRD#: 5581328
BB

Professional summary

Benjamin Spencer Byington is a registered financial professional currently at MORETON CAPITAL MARKETS, LLC located in Salt Lake City, Utah.

Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2008. Benjamin has worked at 3 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin Spencer Byington's CRS (Customer Relationship Summary).
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

March 2, 2016 - Present

MORETON CAPITAL MARKETS, LLC

Office #1: 101 So. 2nd East, Suite 300, Salt Lake City, UT 84111
BD
CRD#: 132643
Salt Lake City, UT
Past

November 6, 2009 - March 3, 2016

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
SALT LAKE CITY, UT
Past

November 6, 2008 - November 6, 2009

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
SALT LAKE CITY, UT

State Registrations and Notice Filings

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

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
Colorado
(4/4/2016)
RR
Minnesota
(3/2/2016)
RR
Nebraska
(2/22/2023)
RR
Nevada
(6/6/2025)
RR
Utah
(3/2/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 12/2/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 12/19/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/27/2019
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MORETON CAPITAL MARKETS, LLC
MORETON BROKERAGE SERVICES, LLC | MORETON CAPITAL MARKETS, LLC

CRD#: 132643 / SEC#: , 8-66620

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

Main Address
101 S. 200 E. Suite 300, Salt Lake City, UT 84111
Mailing Address
101 S 200 E. Suite 300, Salt Lake City, UT 84111
Phone number
(801) 535-3650
Established
Utah since 07/19/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VOS, ERIC LEECEO/CCO2836821
LUNDBERG, LARRY HMEMBER4500324
STOKER, RYAN SCOTTMEMBER4066425
WILLIAM R. MORETON ESTATEMEMBER
MORETON, CHARI WPERSONAL REPRESENTATIVE OF THE WILLIAM R. MORETON ESTATE8108960
ROESKE, SHARON LEEFINOP720262

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

MORETON CAPITAL MARKETS, LLC

CRD#: 132643Salt Lake City, UT 84111

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