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Benjamin Caruso
Ben Caruso, Benjamin P Caruso, Benjamin Peter Caruso
CRD#: 5993084
IA
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HIGHPOINT PLANNING PARTNERSCRD#: 316636 1122 Westgate Street
Suite 203
Oak Park, IL 60301
Suite 203
Oak Park, IL 60301
LPL FINANCIAL LLCCRD#: 6413 1122 WESTGATE ST STE 203
OAK PARK, IL 60301
OAK PARK, IL 60301
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Disclosures
12
Years of Experience
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State Registrations
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California 9/15/2023
B
Kansas 9/15/2023
B
Illinois 9/15/2023
B
Missouri 2/9/2024
IA
Illinois 9/20/2023
B
Ohio 8/22/2024
SRO Registrations
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Registered with this firm since 9/20/2023
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Registered with this firm since 9/15/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/30/2019 - 08/11/2023 | FOREST PARK, IL | |
B | 04/26/2019 - 08/11/2023 | FOREST PARK, IL | |
IA | 10/27/2017 - 04/29/2019 | OAK BROOK, IL | |
B | 10/27/2017 - 04/29/2019 | OAK BROOK, IL | |
IA | 01/21/2014 - 08/04/2017 | Chicago, IL | |
B | 05/30/2013 - 08/04/2017 | Chicago, IL | |
IA | 05/30/2013 - 01/21/2014 | Chicago, IL | |
IA | 02/14/2012 - 05/14/2013 | CHICAGO, IL | |
B | 12/19/2011 - 05/14/2013 | CHICAGO, IL |
OAK BROOK, IL
10/27/2017 - 04/29/2019
OAK BROOK, IL
10/27/2017 - 04/29/2019
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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.