Benjamin Ian Stein
Professional Summary
Benjamin Ian Stein, who also goes by Benjamin Ian Stein, Benjamin Stein, Ben Stein, is a registered financial advisor currently at IMA WEALTH located in Denver, Colorado. Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Benjamin has worked at 3 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Benjamin Ian Stein, Benjamin Stein, Ben Stein
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Years of Experience
9 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Current Firm
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | TRG RETIREMENT PLAN CONSULTANTS | TRG INVESTMENT ADVISORS | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH
Contact Information
Main Address
1705 17th Street Suite 100, Denver, CO 80202Mailing Address
430 E Douglas Ave Suite 400, Wichita, KS 67202Phone Number
(316) 266-6574Established
Kansas since 06/23/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
50SEC notice filing (21 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC. | SHAREHOLDER | — |
| DAVIS, PATRICIA LYNN | SVP, CCO, DIRECTOR | 5613123 |
| HOLT, RICHARD WILLIAM | PRESIDENT, DIRECTOR, CIO, FINOP | 2778485 |
| PAULY, ERIC MICHAEL | GENERAL COUNSEL/SECRETARY | 7719772 |
| POOL, SUSAN LOUISE | SENIOR VICE PRESIDENT/DIRECTOR | 3178683 |
Regulatory Assets Under Management
Total Number of Accounts
1,191AUM (Assets Under Management)
$3,904,795,950Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
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.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | TRG RETIREMENT PLAN CONSULTANTS | TRG INVESTMENT ADVISORS | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH
State Registrations and Notice Filings
(1/17/2025)
(9/20/2022)
(9/19/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSimilar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Ian Stein's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
