BENSON WEALTH MANAGEMENT, INC. is an SEC-registered investment adviser (CRD 318898). Regulatory assets under management: $116.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Barrett Oliver Benson | CCO/INVESTMENT ADVISOR REPRESENTATIVE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-01 | regulatory | THE RESPONDENTS FAILED TO KEEP COPIES OF CLIENT AGREEMENTS; THE RESPONDENTS FAILED TO KEEP TRUE; ACCURATE; AND CURRENT BOOKS, LEDGERS AND RECORDS; AND THE RESPONDENTS FAILED TO MAINTAIN MINIMUM NET CAPITAL FOR TWELVE OUT OF TWENTY MONTHS. | Final | $6K |