BT
Benjamin C. Treece
SB ADVISORY
Indianapolis, IN
Some features on this profile are disabled
CRD#: 5687784
BT
Professional summary
Benjamin Cory Treece, who also goes by Ben Cory Treece, Benjamin C Treece, is a registered financial advisor currently at SB ADVISORY, LLC located in Indianapolis, Indiana and SAN BLAS SECURITIES LLC located in Chicago, Illinois.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Benjamin has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Cory Treece | Benjamin C Treece
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.
1) WATERSIDE SYLVANIA LLC, NOT INVESTMENT RELATED, SINCE 09/2015, PARTNER, LAND HOLDING COMPANY, DEVOTE LESS THAN 5HRS /WK TO THIS ACTIVITY.. 2) PICKLE JAR FINANCE; TOLEDO,OH; NOT INVESTMENT-RELATED; SINCE 12/2018; WRITER; INFORMATIONAL NEWS LETTER; DUTIES: PRODUCE CONTENT; DEVOTE 5 HRS./WEEK TO THIS ACTIVITY. 3.)DOUGLAS ALLEN ASSOCIATES, LLC, OWNER, OFFICE SUPPLY AND STAFFING COMPANY, NOT INVESTMENT RELATED, NO ADDITIONAL COMPENSATION (ALL COMPENSATION THROUGH DOUGLAS ALLEN IS A RESULT OF TIAC OR TFSC). 4.) N731PC LLC, OWNER, OWNS AND MAINTAINS AN AIRCRAFT, NOT INVESTMENT RLEATED, NO ADDITIONAL COMPENSATION. 5.) SB ADVISORY, INVESTMENT ADVISOR, INVESTMENT RELATED, COMPENSATED 1099 FOR INVESTMENT ADVISORY SERVICES, DEVOTE 40+ HOURS/WEEK 6.) TREECE INVESTMENTS LLC: INVESTMENT RELATED, MANAGING MEMBER, DBA (TREECE INVESTMENTS PORTFOLIO MANAGEMENT AND BUSINESS CONSULTING) FOR MARKETING BROKERAGE AND ADVISORY SERVICES OFFERED THROUGH SAN BLAS SECURITIES AND SB ADVISORY, COMPENSATED VIA REVENUE GENERATED FROM BROKERAGE AND ADVISORY SERVICES, 40+ HOURS/WEEK 7) THE GOFOLIO, not investment related, business is not an LLC presently with an address or defined ownership, software solution for statistical analysis, consultant, no affiliation with other business, start date 1/24/2024, 10 hours/mo and less than 1 hour per week during trading hours, work with software developer to make introductions to institutional entities that may have an interest in the product.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Cory Treece's 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®
NoneExperience
Current
April 14, 2021 - Present
SB ADVISORY, LLC
RIA
CRD#: 154680
Indianapolis, IN
Current
April 14, 2021 - Present
SAN BLAS SECURITIES LLC
Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606BD
CRD#: 290605
CHICAGO, IL
Past
September 3, 2010 - May 17, 2021
TREECE INVESTMENT ADVISORY CORP
RIA
CRD#: 110449
TOLEDO, OH
Past
May 21, 2010 - May 14, 2021
TREECE FINANCIAL SERVICES CORP.
BD
CRD#: 23296
TOLEDO, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)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.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
California(4/14/2021)
IAR
California(4/14/2021)
RR
Florida(4/14/2021)
IAR
Florida(8/20/2021)
RR
Indiana(4/16/2024)
IAR
Indiana(4/16/2024)
RR
Michigan(4/14/2021)
IAR
Michigan(4/14/2021)
RR
Missouri(4/14/2021)
IAR
Missouri(4/14/2021)
RR
North Carolina(4/15/2021)
IAR
North Carolina(9/17/2021)
RR
Ohio(6/9/2021)
IAR
Ohio(6/9/2021)
RR
Pennsylvania(4/14/2021)
IAR
Pennsylvania(4/14/2021)
RR
Tennessee(4/14/2021)
RR
Texas(4/14/2021)
IAR
Texas(4/14/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184
Mailing Address
Phone number
(404) 704-0406
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,540 |
| AUM (Assets Under Management) | $ 404,771,341 |
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.
