BT
Benjamin S. Topping
PRINCIPAL ADVISED SERVICES
BOYNTON BEACH, FL
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CRD#: 6596536
BT
Professional summary
Benjamin Scott Topping, who also goes by Ben Scott Topping, Ben Topping, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Boynton Beach, Florida and PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Benjamin has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Scott Topping | Ben Topping
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.
PRINCIPAL BANK POSITION: AVP Advice Education Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/02/2024 ADDRESS: 3160 E Atlantic Dr, Boynton Beach FL 33435, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products. PRINCIPAL ADVISED SERVICES POSITION: Investment Advisor Representative NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/21/2024 ADDRESS: 3160 E Atlantic Dr, Boynton Beach FL 33435, United States DESCRIPTION: Investment Adviser Representative of a Registered Investment Adviser that facilitates investment advice to its customers. Compensation is from combined role with Principal on behalf of the Principal Securities, Principal Bank and Principal Advised Services entities.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Scott Topping'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
October 21, 2024 - Present
PRINCIPAL ADVISED SERVICES
RIA
CRD#: 297324
BOYNTON BEACH, FL
Current
October 2, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262RIA
BD
CRD#: 1137
Charlotte, NC
Past
January 8, 2020 - October 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LANTANA, FL
Past
November 6, 2019 - October 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LANTANA, FL
Past
January 19, 2016 - October 23, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LAKE WORTH, FL
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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 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.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
Alabama(10/2/2024)
RR
Alaska(10/2/2024)
RR
Arizona(10/2/2024)
RR
Arkansas(10/2/2024)
RR
California(10/2/2024)
RR
Colorado(10/2/2024)
RR
Connecticut(10/2/2024)
RR
Delaware(10/2/2024)
RR
District of Columbia(10/2/2024)
RR
Florida(10/2/2024)
IAR
Florida(11/11/2024)
RR
Georgia(10/2/2024)
RR
Hawaii(10/2/2024)
RR
Idaho(10/2/2024)
RR
Illinois(10/2/2024)
RR
Indiana(10/2/2024)
RR
Iowa(10/2/2024)
IAR
Iowa(10/21/2024)
RR
Kansas(10/2/2024)
RR
Kentucky(10/2/2024)
RR
Louisiana(10/2/2024)
RR
Maine(10/2/2024)
RR
Maryland(10/2/2024)
RR
Massachusetts(10/2/2024)
RR
Michigan(10/2/2024)
RR
Minnesota(10/2/2024)
RR
Mississippi(10/2/2024)
RR
Missouri(10/2/2024)
RR
Montana(10/2/2024)
RR
Nebraska(10/2/2024)
RR
Nevada(10/2/2024)
RR
New Hampshire(10/2/2024)
RR
New Jersey(10/2/2024)
RR
New Mexico(10/2/2024)
RR
New York(10/2/2024)
RR
North Carolina(10/2/2024)
RR
North Dakota(10/2/2024)
RR
Ohio(10/2/2024)
RR
Oklahoma(10/2/2024)
RR
Oregon(10/2/2024)
RR
Pennsylvania(10/2/2024)
RR
Rhode Island(10/2/2024)
RR
South Carolina(10/2/2024)
RR
South Dakota(10/2/2024)
RR
Tennessee(10/2/2024)
RR
Texas(10/2/2024)
RR
Utah(10/2/2024)
RR
Vermont(10/2/2024)
RR
Virginia(10/2/2024)
RR
Washington(10/2/2024)
RR
West Virginia(10/2/2024)
RR
Wisconsin(10/2/2024)
RR
Wyoming(10/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/3/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 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.
