John T. Benestad
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.
John Torleaf Benestad was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1976. John had worked at 9 firms and has passed the Series 63, PC, Series 24, Series 53, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 1992 - March 13, 1995
UBS CAPITAL MARKETS L.P.
April 23, 1985 - May 3, 1989
WACHOVIA SECURITIES, INC.
May 1, 1984 - April 3, 1985
RICHARDSON GREENSHIELDS SECURITIES INC.
November 23, 1979 - March 21, 1984
CITIGROUP GLOBAL MARKETS INC.
November 27, 1978 - October 2, 1979
HAMILTON/COOKE & CO. OF FLORIDA, INC.
March 15, 1978 - March 23, 1979
BENESTAD & CO., INC.
March 3, 1977 - September 29, 1977
JSC SECURITIES, INC.
September 29, 1976 - January 2, 1977
MARSHALL AND MEYER BROKERAGE SERVICES, INC.
January 22, 1976 - June 22, 1976
WINTERS & COMPANY, INC.
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
PC
Date: 1/13/1978
AMEX Put and Call ExamF04
Date: 1/13/1978
Financial Principal ExaminationSeries 40
Date: 1/10/1976
Registered Principal ExaminationCurrent Firm
UBS CAPITAL MARKETS L.P.
CRD#: 2692 / SEC#: , 8-13535
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS, INC | GENERAL PARTNER | |
| UBS AMERICAS, INC. | LIMITED PARTNER | |
| CS CAPITAL MARKETS & CO. | GENERAL PARTNER OF SCHWAB CAPITAL MARKETS L.P. | |
| LEIBOWITZ, LAWRENCE EDWARD | CO-EXECUTIVE VICE PRESIDENT | 2024745 |
| MCISAAC, DANIEL THOMAS | EXECUTIVE DIRECTOR, CFO, HEAD OF REGULATORY REPORTING | 1543499 |
| MECANE, JOSEPH MICHAEL | VICE PRESIDENT & COO | 3114744 |
| SIMMES, STEPHEN ANDREW | COMPLIANCE DIRECTOR | 4319792 |
| SOUNDVIEW TECHNOLOGY GROUP, INC. | LIMITED PARTNER OF UBS CAPITAL MARKETS, L.P. |
Disclosures
| Regulatory Event | 27 |
Red Flags
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