Benjamin I. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Ian Stein's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2022 - Present
IMA WEALTH
Office #1: 1705 17th Street Suite 100, Denver, CO 80202September 19, 2022 - December 15, 2023
IMA WEALTH
March 13, 2019 - September 2, 2022
OSAIC WEALTH, INC.
March 4, 2019 - September 2, 2022
OSAIC WEALTH, INC.
January 12, 2018 - June 18, 2018
EQUITABLE ADVISORS, LLC
October 13, 2017 - June 18, 2018
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
IMA WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/17/2025)
(9/20/2022)
(9/19/2022)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
IMA WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
Contact information
SEC notice filing (19 States and Territories)
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 | 1,514 |
| AUM (Assets Under Management) | $ 3,158,410,252 |
Red Flags
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