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Detailed Report
BENJAMIN D GANTT
CRD#: 4757055
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 2450 Tim Gamble Pl FL 1
TALLAHASSEE, FL 32308
Registration History
20062008201020122014201620182020202220242026IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2014 - Present (10 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2005 - Present (20 years)
Disclosure(s)
View By:
2/19/2019
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/23/2008
B
Maryland 9/1/2011
B
Arizona 9/1/2011
B
Mississippi 11/14/2018
B
California 12/3/2015
B
Nevada 11/7/2018
B
Colorado 12/4/2015
B
New Mexico 12/12/2016
B
District of Columbia 9/29/2023
B
New York 6/15/2010
B
Florida 2/16/2005
B
North Carolina 9/1/2011
IA
Florida 4/3/2014
B
Ohio 10/10/2023
B
Georgia 9/25/2006
B
Pennsylvania 3/3/2010
B
Hawaii 7/18/2023
B
South Carolina 9/1/2011
B
Illinois 3/5/2020
B
Tennessee 2/7/2022
B
Indiana 4/25/2024
B
Texas 6/10/2011
B
Kansas 12/5/2022
B
Virginia 9/1/2011
B
Louisiana 9/1/2011
B
West Virginia 2/22/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
2450 Tim Gamble Pl FL 1, TALLAHASSEE, FL 32308
Registered with this firm since 4/3/2014
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
2450 Tim Gamble Pl FL 1, TALLAHASSEE, FL 32308
Registered with this firm since 2/16/2005
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.