Benjamin TrevinoCRD Number: 5387707
Current Firm: Principal Securities, Inc.
Benjamin Trevino (CRD# 5387707) is an Investment Advisor Representative working at Principal Securities, Inc. in Menomonee Falls, WI and has over 10 years of experience in the finance industry.
Fortress Planning Group
Midland Financial Advisors, Inc.
|Union Financial Inc.||West Allis, WI||Aug 2008 - Current||9|
|Principal Life Insurance Co||Menomonee Falls, WI||Jul 2007 - Current||10|
|Princor Financial Services Corp||Menomonee Falls, WI||Jul 2007 - Current||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 2007|
|S65||NASAA Investment Advisors Law Examination||Jan 2012|
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
Total Assets Under Management1,916MILLIONS
Total Number of Accounts17,630ACCOUNTS
Average Account Value$108,691
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY