J. P. Benzie
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.
J. Peter Benzie JR, who also goes by J. P Benzie Jr, John Peter Benzie Jr, was a registered financial professional .
J. is a previously registered financial professional and started their career in finance in 1975. J. had worked at 12 firms and has passed the Series 63, SIE, Series 5, PC, Series 7, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2013 - September 11, 2015
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
April 26, 2005 - June 1, 2012
APEX CLEARING CORPORATION
October 2, 2001 - February 23, 2005
NATIONAL FINANCIAL SERVICES LLC
September 25, 1998 - October 2, 2001
FIDELITY DISTRIBUTORS CORPORATION
September 6, 1996 - October 2, 2001
FIDELITY BROKERAGE SERVICES LLC
February 7, 1991 - August 15, 1996
CHASE INVESTMENT SERVICES CORP.
May 18, 1989 - February 19, 1991
LORD ABBETT DISTRIBUTOR LLC
May 6, 1981 - May 22, 1989
LEHMAN BROTHERS INC.
September 16, 1977 - May 1, 1981
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 24, 1975 - February 27, 1976
BACHE & CO., 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
Series 5
Date: 1/8/1982
Interest Rate Options ExaminationPC
Date: 5/29/1981
AMEX Put and Call ExamSeries 12
Date: 9/1/1979
NYSE Branch Manager ExaminationCurrent Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
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.
