BB
Brian R. Bennett
BENNCO ADVISORS
COLORADO SPRINGS, CO 80903
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CRD#: 821115
BB
Professional summary
Brian Richard Bennett is a registered financial advisor currently at BENNCO ADVISORS located in Colorado Springs, Colorado and THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Colorado Springs, Colorado.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Brian has worked at 10 firms and has passed the Series 65, Series 63, SIE, PC, Series 7, Series 24, Series 51 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. COLORADO EPISCOPAL FOUNDATION - INVESTMENT RELATED TO THE EXTENT THAT TRUSTEES SET POLICIES RELATED TO FUNDS AND PROGRAMS OF FOUNDATION. 1300 WASHINGTON STREET DENVER CO 80203, MISSION IS TO LEVERAGE THE VISION AND RESOURCES OF LOCAL CONGREGATIONS TO HELP BUILD THE CHURCH IN COLORADO, MEMBER OF THE INVESTMENT COMMITTEE, 01/01/2014, 2 HOURS/MONTH DURING TRADING HOURS, MEMBER OF BOARD OF TRUSTEES - POLICY MAKING BODY FOR FOUNDATION. 2. CATHEDRAL RIDGE CAMP AND CONFERENCE CENTER - NOT INVESTMENT RELATED, 1300 WASHINGTON STREET DENVER CO 80203, THE CAMP AND CONFERENCE CENTER IS AN INSIUTION OF THE DIOCESE OF COLORADO OF THE EPISCOPAL CHURCH. THE CENTER HOSTS CHURCH AND OTHER GROUPS FOR RETREATS AND MEETINGS INCLUDING YOUTH CAMPING IN THE SUMMERTIME, OFFICER, 04/01/2011, 6 HOURS/MONTH, 0 DURING TRADING, BOARD OF DIRECTORS. 3. FIXED INSURANCE - NOT INVESTMENT RELATED, 731 N TEJON STREET COLORADO SPRINGS CO 80903, FIXED INSURANCE, AGENT, 09/09/2013, 3 HOUR/MONTH, 0 DURING TRADING, FIXED INSURANCE SALES THROUGH VARIOUS PRODUCT PROVIDERS. 4. BENNCO ADVISORS - INVESTMENT RELATED, 731 N TEJON STREET COLORADO SPRINGS CO 80903, REGISTERED INVESTMENT ADVISER - ALSO USED AS DBA FOR FINANCIAL SERVICES OFFERED THROUGH SFA, MARKETING AND STRATEGIC CONSULTANT, 02/01/1997, 20 HOURS/MONTH, 5 DURING TRADING (HOURS SPECIFIC TO RIA), FINANCIAL PLANNING, CONSULTING, AND ASSET MANAGEMENT. 5. OHIO STATE LIFE INSURANCE COMPANY, AGENT, FIXED ANNUITIES, INVESTMENT RELATED, 1 HOUR/ MONTH, 1 HOUR FOR SECURITIES TRADING HOURS, START DATE: 07/01/2023, PO BOX 2541, SALT LAKE CITY, UT 84125-0417, UNITED STATES, FIXED ANNUITY SALES.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Richard Bennett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Richard Bennett's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 1, 1999 - Present
BENNCO ADVISORS
Office #1: 111 S. Tejon Street Suite 100, Colorado Springs, CO 80903RIA
CRD#: 112987
COLORADO SPRINGS, CO
Current
February 26, 2007 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 731 N. Tejon Street, Colorado Springs, CO 80903RIA
BD
CRD#: 126514
Colorado Springs, CO
Current
February 26, 2007 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 731 N. Tejon Street, Colorado Springs, CO 80903RIA
BD
CRD#: 126514
Colorado Springs, CO
Past
June 14, 2004 - February 26, 2007
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
COLORADO SPRINGS, CO
Past
June 14, 2004 - February 26, 2007
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
COLORADO SPRINGS, CO
Past
October 4, 2000 - June 22, 2004
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
March 5, 1991 - October 25, 2000
D.E. FREY & COMPANY, INC.
BD
CRD#: 23595
DENVER, CO
Past
September 4, 1990 - March 4, 1991
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 6, 1979 - September 4, 1990
BOETTCHER & COMPANY, INC.
BD
CRD#: 101
Past
August 2, 1978 - February 20, 1991
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
June 22, 1976 - June 17, 1978
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
April 19, 1976 - May 30, 1976
DOUGLASS & CO. INCORPORATED
BD
CRD#: 6408
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/22/2015)
RR
Arkansas(6/27/2022)
RR
California(9/18/2023)
IAR
Colorado(1/1/1999)
RR
Colorado(2/26/2007)
RR
Florida(2/26/2007)
RR
Georgia(4/4/2007)
RR
Kansas(4/20/2017)
RR
New Mexico(1/12/2015)
RR
Texas(2/26/2007)
IAR
Texas(1/2/2008)
RR
Virginia(7/31/2017)
RR
Wyoming(1/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/3/1989
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 10/17/1978
Registered Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Mailing Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Phone number
(678) 954-4000
Established
Georgia since 02/13/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
63
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SFA HOLDINGS, INC. | SHAREHOLDER | |
| COPELAND, JOSEPH KILLINGSWORTH | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | 6847982 |
| GOLDSMITH, ARTHUR BERTRAM | SVP | 706059 |
| HARRELL, VERONICA RAY | ASSISTANT VICE-PRESIDENT | 5898449 |
| JONES, DEADERICK K | VICE PRESIDENT, CCO | 3029947 |
| SCHROLL, DAVID | VICE-PRESIDENT SUPERVISION | 5055067 |
| SLOVIN, CLIVE | DIRECTOR | 1101301 |
| SULLIVAN, JULIE ANN | PRESIDENT, DIRECTOR | 1112088 |
| TATUM, ANNA ELISE | CFO | 7273094 |
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 470,940,835 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
THE STRATEGIC FINANCIAL ALLIANCE, INC.
CRD#: 126514Colorado Springs, CO 80903TRUST BUT VERIFY
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