BM
Benjamin Mcfaul
STRIVE ASSET MANAGEMENT
DALLAS, TX 75201
Some features on this profile are disabled
CRD#: 6911570
BM
Professional summary
Benjamin Mcfaul, who also goes by Benjamin Richard Mcfaul, is a registered financial advisor currently at STRIVE ASSET MANAGEMENT located in Dallas, Texas and QUASAR DISTRIBUTORS, LLC located in Portland, Maine.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Benjamin has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benjamin Richard Mcfaul
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.
Strive Asset Management, LLC; Investment Related; Asset Management; Nashville, TN; 05/2023; Regional Director; call Financial Advisors and convince them to use the products that Strive manages; 150 Hrs Per Month
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Mcfaul'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
November 9, 2023 - Present
STRIVE ASSET MANAGEMENT
Office #1: 200 Crescent Court Ste 1400, Dallas, TX 75201RIA
CRD#: 322039
DALLAS, TX
Current
June 28, 2023 - Present
QUASAR DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101BD
CRD#: 103848
Portland, ME
Past
September 1, 2021 - May 25, 2023
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
SPOKANE, WA
Past
September 1, 2021 - May 25, 2023
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SPOKANE, WA
Past
July 15, 2020 - March 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DUVALL, WA
Past
June 9, 2020 - March 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DUVALL, WA
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".
SA
STRIVE ASSET MANAGEMENT
STRIVE ASSET MANAGEMENT | STRIVE ASSET MANAGEMENT, LLC
CRD#: 322039 / SEC#: 801-125907
RIA
Registered Investment Advisory firm - (6/21/2022 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(6/28/2023)
RR
Alaska(6/28/2023)
RR
Arizona(6/28/2023)
RR
Arkansas(6/28/2023)
RR
California(6/28/2023)
RR
Colorado(6/28/2023)
RR
Connecticut(6/28/2023)
RR
Delaware(6/28/2023)
RR
District of Columbia(6/28/2023)
RR
Florida(6/28/2023)
RR
Georgia(6/28/2023)
RR
Hawaii(6/28/2023)
RR
Idaho(6/28/2023)
RR
Illinois(6/28/2023)
RR
Indiana(6/28/2023)
RR
Iowa(6/28/2023)
RR
Kansas(6/28/2023)
RR
Kentucky(6/28/2023)
RR
Louisiana(6/28/2023)
RR
Maine(6/28/2023)
RR
Maryland(6/28/2023)
RR
Massachusetts(6/28/2023)
RR
Michigan(6/28/2023)
RR
Minnesota(6/28/2023)
RR
Mississippi(6/28/2023)
RR
Missouri(6/28/2023)
RR
Montana(6/28/2023)
RR
Nebraska(6/28/2023)
RR
Nevada(6/28/2023)
RR
New Hampshire(6/28/2023)
RR
New Jersey(6/28/2023)
RR
New Mexico(6/28/2023)
RR
New York(6/28/2023)
RR
North Carolina(6/28/2023)
RR
North Dakota(6/28/2023)
RR
Ohio(6/28/2023)
IAR
Ohio(11/9/2023)
RR
Oklahoma(6/28/2023)
RR
Oregon(6/28/2023)
RR
Pennsylvania(6/28/2023)
RR
Rhode Island(6/28/2023)
RR
South Carolina(6/28/2023)
RR
South Dakota(6/28/2023)
RR
Tennessee(6/28/2023)
RR
Texas(6/28/2023)
RR
Utah(6/28/2023)
RR
Vermont(6/28/2023)
RR
Virginia(6/28/2023)
RR
Washington(6/28/2023)
RR
West Virginia(6/28/2023)
RR
Wisconsin(6/28/2023)
RR
Wyoming(6/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/9/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STRIVE ASSET MANAGEMENT
STRIVE ASSET MANAGEMENT | STRIVE ASSET MANAGEMENT, LLC
CRD#: 322039 / SEC#: 801-125907
RIA
Registered Investment Advisory firm - (6/21/2022 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
200 Crescent Court Ste 1400, Dallas, TX 75201
Mailing Address
Phone number
(872) 270-5406
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 2,352,768,115 |
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.
Company Information
STRIVE ASSET MANAGEMENT
CRD#: 322039Dallas, TX 75201TRUST BUT VERIFY
Monitor Benjamin Mcfaul
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
