Christopher J. Bennett
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.
Christopher James Bennett, who also goes by Christopher James Bennett Mr., Chris Bennett, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2010. Christopher had worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 31, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - April 6, 2018
DE GROOTE FINANCIAL GROUP, LLC
July 5, 2016 - November 3, 2017
CARDEN CAPITAL LLC
March 9, 2015 - December 31, 2018
MWF CONSULTING SOLUTIONS LLC
September 20, 2013 - October 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 2013 - October 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2011 - September 23, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 19, 2011 - September 23, 2013
WELLS FARGO CLEARING SERVICES, LLC
May 7, 2010 - October 14, 2011
MORGAN STANLEY
April 13, 2010 - October 14, 2011
MORGAN STANLEY
Primary Firm SEC Registration
DE GROOTE FINANCIAL GROUP, LLC
CRD#: 168178 / SEC#: 801-78358
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
DE GROOTE FINANCIAL GROUP, LLC
CRD#: 168178 / SEC#: 801-78358
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,093 |
| AUM (Assets Under Management) | $ 750,623,008 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/17/2025 | ||
| 07/25/2024 | ||
| 04/02/2024 |
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.
