Benjamin York, financial advisor Greenwood Village CO
81 score

Benjamin York

CRD Number: 4502534
Current Firm: Transamerica Financial Advisors, Inc.

Benjamin York (CRD# 4502534) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Greenwood Village, CO and has over 11 years of experience in the finance industry.

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Company Name Location Dates Years
Herding Cats Consulting Inc. Greenwood Village, CO Feb 2013 - Current 3
Transamerica Financial Advisors, Inc. Greenwood Village, CO Jan 2012 - Current 4
Wfg Greenwood Village, CO Jun 2001 - Current 15
Investment Advisors International Greenwood Village, CO Oct 2008 - Jan 2012 3
World Group Securities Greenwood Village, CO Jul 2003 - Jan 2012 8
Butterfly Financial Group Denver, CO May 2005 - Mar 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2005
S65 NASAA Investment Advisors Law Examination Apr 2008
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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Benjamin J. York
Phone Number: 727-299-1800
Registered State(s):
  • CO
By the Numbers
  • Total Assets Under Management
    4,493
    MILLIONS
  • Total Number of Accounts
    33,842
    ACCOUNTS
  • Average Account Value
    $132,767
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
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
81

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