Benjamin A. Wormington
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 Aaron Wormington, who also goes by Ben Wormington, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2011. 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
August 7, 2017 - April 16, 2018
TD AMERITRADE, INC.
August 7, 2017 - April 16, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 7, 2017 - April 16, 2018
TD AMERITRADE, INC.
September 12, 2011 - July 25, 2017
SECURIAN FINANCIAL SERVICES, INC.
August 3, 2011 - July 25, 2017
SECURIAN FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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