Benjamin Westphal Payne

Employer firm

Vicus Capital, Inc. CRD 116021

$2.99B regulatory AUM 316 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2009 → 09/2016
  E*Trade Clearing Llc
  Jersey City, NJ
• 09/2016 → 08/2018
  E*Trade Securities Llc
  Jersey City, NJ
• 08/2018 → 01/2019
  E*Trade Securities Llc
  Madera, PA
• 01/2019 → 07/2019
  Unemployed
  Madera, PA
• 07/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 07/2019 → Present
  Vicus Capital
  State College, PA
• 07/2019 → Present
  Pfg
  State College, PA
• 11/2017 → Present
  Quissana Trust
  Canandaigua, NY
• 06/2023 → Present
  Saint Millie, Llc
  Madera, PA

Other Businesses

1. NAME OF OTHER BUSINESS: VICUS CAPITAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADMINISTRATIVE AND COMPLIANCE ASSISTANCE FOR THE CHIEF COMPLIANCE OFFICER OF THE RIA POSITION/TITLE/RELATIONSHIP: FINANCIAL SERVICES COMPLIANCE ASSOCIATE START DATE: 7/2019 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: WORK DIRECTLY WITH THE CHIEF COMPLIANCE OFFICER AND THE COMPLIANCE TEAM BY ASSISTING ASSOCIATES WITH COMPLIANCE SUPPORT FOR NEW BUSINESS SUBMISSION, REGULATORY REGISTRATIONS, AND POLICIES AND PROCEDURES FOR OUR BROKER-DEALER AND SEC REGISTERED INVESTMENT ADVISOR 2. NAME OF OTHER BUSINESS: PFG INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADMINISTRATIVE AND COMPLIANCE ASSISTANCE FOR THE CHIEF COMPLIANCE OFFICER OF THE RIA POSITION/TITLE/RELATIONSHIP: FINANCIAL SERVICES COMPLIANCE ASSOCIATE START DATE: 7/2019 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: WORK DIRECTLY WITH THE CHIEF COMPLIANCE OFFICER AND THE COMPLIANCE TEAM BY ASSISTING ASSOCIATES WITH COMPLIANCE SUPPORT FOR NEW BUSINESS SUBMISSION, REGULATORY REGISTRATIONS, AND POLICIES AND PROCEDURES FOR OUR BROKER-DEALER AND SEC REGISTERED INVESTMENT ADVISOR 3. NAME OF OTHER BUSINESS: QUISSANA TRUST INVESTMENT RELATED: NO ADDRESS: 4760 SOUTH MENETH DRIVE, CANANDAIGUA, NY 14424 NATURE OF BUSINESS: OWNERSHIP OF PROPERTY POSITION/TITLE/RELATIONSHIP: TRUSTEE START DATE: 11/2017 APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR A WEEK APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 HOUR A WEEK BRIEF DESCRIPTION OF DUTIES: TRUSTEE WITH THE DUTY OF MAINTENANCE OF RESERVATION SYSTEM FOR OWNERS 4. NAME OF OTHER BUSINESS: SAINT MILLIE, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: LLC; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MAINTAIN & MANAGE ACTIVITIES OF PROPERTIES HELD BY LLC;

Exams

• S66 Uniform Combined State Law Examination
  2019-10-29
• S63 Uniform Securities Agent State Law Examination
  2006-03-04