Michael J. Benjamin
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.
Michael James Benjamin, CFP®, who also goes by Mike Benjamin, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 12 firms and has passed the Series 63, SIE, Series 5, Series 15, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1988
Experience
April 26, 2005 - August 25, 2022
LPL FINANCIAL LLC
April 26, 2005 - August 25, 2022
LPL FINANCIAL LLC
July 30, 2004 - May 12, 2005
1ST GLOBAL ADVISORS INC
July 30, 2004 - May 12, 2005
1ST GLOBAL CAPITAL CORP.
July 2, 2003 - August 2, 2004
SENTRA SECURITIES CORPORATION
July 1, 2003 - August 2, 2004
SENTRA SECURITIES CORPORATION
December 31, 1997 - July 2, 2003
LPL FINANCIAL LLC
April 7, 1994 - July 2, 2003
LPL FINANCIAL LLC
April 19, 1991 - April 7, 1994
ASB FINANCIAL SERVICES
March 6, 1991 - May 11, 1991
CALIFORNIA ONE INVESTMENTS
April 12, 1988 - October 16, 1990
CAPITAL BROKERAGE CORPORATION
December 16, 1985 - December 1, 1987
GAF FINANCIAL AND INSURANCE SERVICES
October 31, 1985 - December 1, 1987
PAMCO SECURITIES AND INSURANCE SERVICES
July 2, 1985 - January 22, 1986
SENTRA SECURITIES CORPORATION
March 30, 1983 - May 31, 1985
MORGAN STANLEY DW INC.
October 28, 1982 - March 2, 1983
CINCINNATI ANALYSTS, INC.
October 19, 1981 - November 1, 1982
COASTAL ASSET MANAGEMENT CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 5
Date: 6/21/1984
Interest Rate Options ExaminationSeries 15
Date: 6/20/1984
Foreign Currency Options ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
