Benjamin Holland

FPG WEALTH

Chicago, IL

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CRD#: 5591122

Professional summary

Benjamin Holland, CFP® is a registered financial advisor currently at FPG WEALTH located in Chicago, Illinois.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Benjamin has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Benjamin Holland'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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

April 28, 2023 - Present

FPG WEALTH

RIA

CRD#: 325539

Chicago, IL

Past

March 25, 2009 - May 5, 2023

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

MARCO ISLAND, FL

Past

October 9, 2008 - May 5, 2023

OPPENHEIMER & CO. INC.

CRD#: 249

MARCO ISLAND, FL

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

Illinois
(4/28/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/24/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/2008

General Securities Representative Examination

Current Firm

FPG WEALTH

FIRST PRINCIPLES GROUP | FPG WEALTH | FPG INVESTMENTS, LLC

CRD#: 325539 / SEC#: 801-127677

RIA

Registered Investment Advisory firm - (4/4/2024 Terminated)

Illinois

Registered Investment Advisory firm - (3/26/2024 Approved)

Texas

Registered Investment Advisory firm - (4/1/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Chicago, IL

Mailing Address

Phone number

(847) 668-7950

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	56
AUM (Assets Under Management)	$ 28,047,655

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.

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Firm Stability Insights

Benjamin Holland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FPG WEALTH

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2009

SIE

Date: 10/1/2018

Series 7

Date: 10/8/2008

Current Firm

FPG WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FPG WEALTH

TRUST BUT VERIFY

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