Barbara E. Bennett
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.
Barbara Ellen Bennett was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1981. Barbara had worked at 13 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 15, Series 5, Series 7, Series 14, Series 27, Series 53 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2019 - September 16, 2024
CENTRAL STATES CAPITAL MARKETS, LLC
April 18, 2019 - September 16, 2024
CENTRAL STATES CAPITAL MARKETS, LLC
October 20, 2018 - December 24, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 20, 2018 - December 24, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 30, 2013 - October 20, 2018
INVESTMENT ADVISORS CORP
May 30, 2013 - October 20, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
April 12, 2011 - May 22, 2013
MML INVESTORS SERVICES, LLC
October 28, 2010 - May 22, 2013
MML INVESTORS SERVICES, LLC
August 26, 2010 - October 15, 2010
MWA FINANCIAL SERVICES INC.
April 13, 2009 - May 10, 2010
AMERICAN EQUITY CAPITAL, INC.
January 1, 2005 - March 31, 2009
RUAN SECURITIES CORPORATION
November 1, 2002 - December 7, 2004
SAMCO FINANCIAL SERVICES, INC.
October 21, 2002 - November 1, 2002
TEJAS SECURITIES GROUP, INC.
February 24, 1997 - September 10, 2002
DONALD & CO. SECURITIES INC.
August 17, 1981 - February 25, 1997
DICKINSON & CO.
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 9/14/1983
Foreign Currency Options ExaminationSeries 5
Date: 11/11/1981
Interest Rate Options ExaminationCurrent Firm
CENTRAL STATES CAPITAL MARKETS, LLC
CRD#: 155291 / SEC#: 801-79295, 8-68711
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLASSEN, MARK K | MEMBER | 6886821 |
| CENTRAL STATES FINANCIAL SERVICES, LLC | HOLDING COMPANY; MEMBER | |
| YOUNG, ROBERT MORRIS JR | CHAIRMAN & CCO | 501297 |
| ADDISON, LAURIE ANNE | CHIEF FINANCIAL OFFICER & FINOP | 7488882 |
| HORTON, MICHAEL ALAN | DIRECTOR, BRANCH MANAGER | 1041106 |
| STEPP, JOHN DANIEL | MANAGING DIRECTOR, CEO; ELECTED MANAGER | 501417 |
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 13,702,190 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 3 |
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.
