Benjamin Torres
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 Torres, who also goes by Ben Torres, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2009. Benjamin had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, 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
January 8, 2018 - July 8, 2020
USAA INVESTMENT SERVICES COMPANY
December 7, 2015 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
August 13, 2015 - June 19, 2020
USAA FINANCIAL ADVISORS, INC.
June 19, 2014 - April 2, 2015
FARMERS FINANCIAL SOLUTIONS, LLC
December 22, 2011 - June 28, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 2011 - June 28, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 16, 2010 - December 19, 2011
CENTAURUS FINANCIAL, INC.
April 16, 2010 - December 19, 2011
CENTAURUS FINANCIAL, INC.
March 12, 2009 - April 21, 2010
SECURIAN FINANCIAL SERVICES, INC.
February 11, 2009 - April 21, 2010
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/22/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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