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Current Employers
Allworth Financial, L.P.

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2023-02-27
  • IN RA
    APPROVED
    Since 2023-02-27

Branch Locations

250 E. 96Th St. Suite 550, Indianapolis, IN 46240 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massachusetts Mutual Life Insurance Company Indianapolis IN 07/2016 02/2023
Mml Investors Services, Llc Indianapolis IN 03/2017 02/2023
Aw Securities Indianapolis IN 02/2023 Present
Allworth Financial, L.P. Indianapolis IN 02/2023 Present
Metlife Securities, Inc. Indianapolis IN 08/2000 03/2017
  • 07/2016 → 02/2023
    Massachusetts Mutual Life Insurance Company
    Indianapolis, IN
  • 03/2017 → 02/2023
    Indianapolis, IN
  • 02/2023 → Present
    Aw Securities
    Indianapolis, IN
  • 02/2023 → Present
    Indianapolis, IN
  • 08/2000 → 03/2017
    Metlife Securities, Inc.
    Indianapolis, IN
Previous Registrations
  • 2017-03-25 → 2023-03-03
    Richmond, IN
    Indianapolis, IN
    Indianapolis, IN
  • 2001-07-25 → 2017-03-25
    Msi Financial Services, Inc.
    Indianapolis, IN
    Aurora, IL
    Indianapolis, IN
    Richmond, IN
    Grand Rapids, MI
    Richmond, IN
    Indianapolis, IN
Other Businesses

NAME: INDIANAPOLIS HEBREW CONGREGATION INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: NONPROFIT - BOARD TREASURER POSITION: TREASURER START DATE: 06/01/2021 No. HR/MO: 2. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: HELPING BOARD WITH FINANCE AND TREASURER RELATED ITEMS INCLUDING BUDGET, PREPARING BOARD REPORTS ETC NAME: NEIGHBORHOOD ASSOCIATION BOD, INV REL: N, ADD: AT RESIDENTIAL ADDRESS, NATURE: VP OF NEIGHBORHOOD HOA, START DATE: 1/1/2020, NO HR/MO: 2, NO HR/MO DURING SEC TRADING: 0, DESCRIBE DUTIES: GENERAL HOA ADMINISTRATIVE DUTIES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-03-14
S63 Uniform Securities Agent State Law Examination 2000-09-14
  • S66 Uniform Combined State Law Examination
    2001-03-14
  • S63 Uniform Securities Agent State Law Examination
    2000-09-14
Designations
Other Names
  • Benjamin J. Abraham
  • Benjamin Abraham

View on SEC IAPD

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