Individual Firm
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DAVID GENE BENEDICT
CRD#: 1106072
IA
B
LPL FINANCIAL LLCCRD#: 6413 HILTON HEAD, SC
0
Disclosures
41
Years of Experience
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State Registrations
B
Florida 10/12/2018
IA
New York 8/3/2021
B
Georgia 10/12/2018
B
North Carolina 11/30/2020
B
Maryland 10/12/2018
B
South Carolina 10/12/2018
B
Massachusetts 2/1/2022
IA
South Carolina 8/16/2021
B
New York 9/18/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/10/2017 - 09/19/2018 | ROCHESTER, NY | |
B | 05/05/2017 - 09/19/2018 | ROCHESTER, NY | |
IA | 01/05/2015 - 05/08/2017 | ROCHESTER, NY | |
B | 11/18/2010 - 05/08/2017 | ROCHESTER, NY | |
B | 06/01/2007 - 12/07/2010 | ROCHESTER, NY | |
B | 08/15/1983 - 06/04/2007 | ROCHESTER, NY | |
B | 06/24/1983 - 01/02/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.