James Benet, financial advisor Charlotte NC
83 score

James Benet

CRD Number: 1353517
Current Firm: Sowell Management Services

James Benet (CRD# 1353517) is an Investment Advisor Representative working at Sowell Management Services in Charlotte, NC and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Triumphant Portfolio Management, LLC Charlotte, NC Jan 2016 - Current < 1
Sowell Management Services North Little Rock, AR Jan 2016 - Current < 1
Wells Fargo Advisors LLC Huntersville, NC May 2009 - Jan 2016 6
Wachovia Securities, LLC Davidson, NC Oct 2008 - May 2009 < 1
Citigroup Global Markets Inc. Cornelius, NC Sep 2001 - Oct 2008 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1985
S65 NASAA Investment Advisors Law Examination Jan 1992
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James J. Benet
Phone Number: 501-219-2434
Registered State(s):
  • NC
  • TX
By the Numbers
  • Total Assets Under Management
    493
    MILLIONS
  • Total Number of Accounts
    3,041
    ACCOUNTS
  • Average Account Value
    $162,159
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, LA, MD, MI, MN, MO, MS, MT, NC, NJ, NM, NV, OK, OR, PA, TN, TX, UT, VA, WA, WV

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BADGES
83

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