LB
Louis C. Benton
PRINCIPAL SECURITIES
Batavia, NY 14020
Some features on this profile are disabled
CRD#: 6070622
LB
Professional summary
Louis C Benton II, who also goes by Lc Benton, Louis Clarence Benton, Louis C Benton, Louis Clarence Benton II, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Batavia, New York.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Louis has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lc Benton | Louis Clarence Benton | Louis C Benton | Louis Clarence Benton Ii
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.
**INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 04/01/2024 ADDRESS: 100 Corporate Parkway, Suite 118, Amherst NY 14226, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare, Medicare Supplements & Medical Insurance through various carriers. **STARIN MORRIS LLC POSITION: owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/20/2020 ADDRESS: 11 Arundel Rd, Buffalo NY 14216, United States DESCRIPTION: An LLC registered in Delaware for the purpose of holding real estate.
CRS (Client Relationship Summary) - RIA
Click below to view Louis C Benton II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Louis C Benton II'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 4, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 W Main St, Batavia, NY 14020Office #2: 2330 N Main St, Warsaw, NY 14569Office #3: 451 Elmwood Ave, Buffalo, NY 14209Office #4: 3672 Route 78, Strykersville, NY 14145Office #5: 12209 Route 16, Yorkshire, NY 14173Office #6: 100 Corporate Pkwy Ste 118, Amherst, NY 14226RIA
BD
CRD#: 1137
Batavia, NY
Current
April 3, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 W Main St, Batavia, NY 14020Office #2: 2330 N Main St, Warsaw, NY 14569Office #3: 451 Elmwood Ave, Buffalo, NY 14209Office #4: 3672 Route 78, Strykersville, NY 14145Office #5: 12209 Route 16, Yorkshire, NY 14173Office #6: 100 Corporate Pkwy Ste 118, Amherst, NY 14226RIA
BD
CRD#: 1137
Batavia, NY
Past
July 18, 2022 - March 20, 2024
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
AMHERST, NY
Past
July 18, 2022 - March 20, 2024
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
AMHERST, NY
Past
March 26, 2021 - July 1, 2022
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
Tonawanda, NY
Past
December 1, 2016 - July 1, 2022
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
Tonawanda, NY
Past
March 28, 2013 - December 4, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WILLIAMSVILLE, NY
Past
March 19, 2013 - December 4, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WILLIAMSVILLE, NY
Past
September 10, 2012 - March 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WILLIAMSVILLE, NY
Past
August 13, 2012 - March 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WILLIAMSVILLE, NY
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
New York(4/3/2024)
IAR
New York(4/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
