Benjamin A. Sprague
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 Alexander Sprague was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2009. Benjamin had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2012 - June 4, 2015
MEANS WEALTH MANAGEMENT
March 6, 2012 - June 4, 2015
MEANS WEALTH MANAGEMENT
February 8, 2012 - March 13, 2012
MML INVESTORS SERVICES, LLC
January 26, 2012 - March 13, 2012
MML INVESTORS SERVICES, LLC
June 9, 2011 - January 13, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 23, 2009 - January 13, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MEANS WEALTH MANAGEMENT
CRD#: 2748 / SEC#: 801-80992, 8-27458
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
Current Firm
MEANS WEALTH MANAGEMENT
CRD#: 2748 / SEC#: 801-80992, 8-27458
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,302 |
| AUM (Assets Under Management) | $ 1,306,705,211 |
Disclosures
| Regulatory Event | 2 |
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.
