Benedict M. Maloney
Professional summary
Benedict Martin Maloney, who also goes by Ben Maloney, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in San Diego, California.
Benedict is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Benedict has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benedict Martin Maloney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Benedict Martin Maloney's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 3, 2015 - Present
CENTAURUS FINANCIAL, INC.
November 2, 2015 - Present
CENTAURUS FINANCIAL, INC.
August 10, 2009 - October 30, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
August 7, 2009 - October 30, 2015
J.P. TURNER & COMPANY, L.L.C.
January 3, 2006 - August 10, 2009
WBB SECURITIES, LLC
March 28, 2003 - August 10, 2009
WBB SECURITIES, LLC
January 15, 2002 - March 31, 2003
ASHTON CAPITAL MANAGEMENT, INC.
June 29, 1999 - January 23, 2002
AMERICAN PACIFIC SECURITIES, INC.
October 17, 1995 - June 11, 1999
EQUITY PROGRAMS CORPORATION
November 12, 1992 - July 16, 1999
1717 CAPITAL MANAGEMENT COMPANY
October 24, 1991 - November 18, 1992
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 5, 1987 - November 30, 1989
GROSVENOR FINANCIAL, INC.
February 24, 1983 - April 6, 1987
CAPITAL GROWTH RESOURCES
September 25, 1980 - February 25, 1985
CENTURA SECURITIES CORPORATION
December 22, 1975 - June 12, 1981
TRANSAMERICA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/24/2018)
(11/2/2015)
(11/3/2015)
Exams
Series 1
Date: 12/15/1975
Registered Representative ExaminationFINRA
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
