Benjamin Caruso, financial advisor Chicago IL
70 score

Benjamin Caruso

CRD Number: 5993084
Current Firm: Cetera Investment Advisers LLC

Benjamin Caruso (CRD# 5993084) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Chicago, IL and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Cetera Investment Advisers LLC Chicago, IL Jan 2014 - Current 2
Mb Financial Bank Chicago, IL May 2013 - Current 3
Cetera Investment Services St. Cloud, MN May 2013 - Current 3
Wells Fargo Advisros, LLC Chicago, IL Oct 2011 - May 2013 1
Aaa Auto Club Group Villa Park, IL Oct 2003 - Aug 2011 7
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Feb 2012
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:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Benjamin P. Caruso
Phone Number: 888-528-2987
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    7,010
    MILLIONS
  • Total Number of Accounts
    26,660
    ACCOUNTS
  • Average Account Value
    $262,943
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
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
70

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