Benjamin Mcfaul
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Benjamin Mcfaul, who also goes by Benjamin Richard Mcfaul, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2020. Benjamin had worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2026 - September 10, 2026
PINE DISTRIBUTORS LLC
November 9, 2023 - December 31, 2025
STRIVE ASSET MANAGEMENT
June 28, 2023 - April 30, 2026
QUASAR DISTRIBUTORS, LLC
September 1, 2021 - May 25, 2023
RBC CAPITAL MARKETS, LLC
September 1, 2021 - May 25, 2023
RBC CAPITAL MARKETS, LLC
July 15, 2020 - March 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 2020 - March 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
What does exam status mean?
Series 7TO
Passed: 6/9/2020
General Securities Representative ExaminationCurrent Firm
PINE DISTRIBUTORS LLC
CRD#: 323408 / SEC#: , 8-71004
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
