Benjamin J. Haffner
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 James Haffner, who also goes by Ben Haffner, Benjamin James Haffner, Benjamin Haffner, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2012. Benjamin had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2023 - June 27, 2025
ALPS DISTRIBUTORS, INC.
November 14, 2019 - December 31, 2022
IMST DISTRIBUTORS, LLC
August 25, 2016 - October 29, 2019
AMG DISTRIBUTORS, INC.
April 26, 2013 - July 14, 2016
CHARLES SCHWAB & CO., INC.
February 2, 2012 - March 22, 2013
FIRST EMPIRE SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
