Debra B. 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.
Debra Bridges Benjamin, who also goes by Debra Denise Bridges, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1978. Debra had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2013 - December 31, 2022
NEXT FINANCIAL GROUP, INC.
October 15, 2013 - December 31, 2022
NEXT FINANCIAL GROUP, INC.
March 13, 2009 - October 23, 2013
RBC CAPITAL MARKETS, LLC
March 13, 2009 - October 23, 2013
RBC CAPITAL MARKETS, LLC
August 11, 2008 - March 13, 2009
FERRIS, BAKER WATTS, LLC
April 20, 2006 - March 13, 2009
FERRIS, BAKER WATTS, LLC
May 5, 1999 - May 12, 2006
SCOTT & STRINGFELLOW, LLC
June 26, 1998 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
November 20, 1985 - July 17, 1998
MORGAN STANLEY DW INC.
July 25, 1985 - November 29, 1985
VESTAX SECURITIES CORPORATION
March 23, 1982 - January 31, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 6, 1981 - March 26, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
July 23, 1980 - August 18, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 1979 - August 3, 1980
CIBC WORLD MARKETS CORP.
November 6, 1978 - November 5, 1983
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
