Benjamin S. Clough

BRECKINRIDGE CAPITAL ADVISORS

BOSTON, MA 02110

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CRD#: 6308653

Professional summary

Benjamin Shepard Clough is a registered financial advisor currently at BRECKINRIDGE CAPITAL ADVISORS INC located in Boston, Massachusetts.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Benjamin has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Shepard Clough's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 11, 2016 - Present

BRECKINRIDGE CAPITAL ADVISORS INC

Office #1: 125 High Street Suite 2614, Boston, MA 02110

RIA

CRD#: 107143

BOSTON, MA

Past

September 5, 2014 - February 24, 2016

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

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".

BRECKINRIDGE CAPITAL ADVISORS INC

CRD#: 107143 / SEC#: 801-43833

RIA

Registered Investment Advisory firm - (4/29/1993 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(8/11/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/10/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/24/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/5/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BRECKINRIDGE CAPITAL ADVISORS INC

CRD#: 107143 / SEC#: 801-43833

RIA

Registered Investment Advisory firm - (4/29/1993 Approved)

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Contact information

Main Address

125 High Street Suite 431, Boston, MA 02110-1529

Mailing Address

Phone number

(617) 443-0779

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRECKINRIDGE CAPITAL ADVISORS FORM ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	18,559
AUM (Assets Under Management)	$ 50,989,726,048

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.

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Benjamin S. Clough

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Shepard Clough's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRECKINRIDGE CAPITAL ADVISORS INC

EATON VANCE DISTRIBUTORS, INC.

Primary Firm SEC Registration

BRECKINRIDGE CAPITAL ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/2016

Series 63

Date: 3/3/2015

SIE

Date: 2/24/2016

Series 6

Date: 9/5/2014

Current Firm

BRECKINRIDGE CAPITAL ADVISORS INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRECKINRIDGE CAPITAL ADVISORS INC

TRUST BUT VERIFY

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