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Benjamin White
42 Years of Experience
Ocean View, DE
8 Disclosures
Benjamin White is a registered investment advisor at D/w Financial Consultants LLC, based in Ocean View, DE, with 42 years of industry experience. Benjamin operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Retirement Planning.
Compensation
Fixed/Hourly
Firm Size
1 advisor
IM Fee
Planning only
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Location
Ocean View, DE
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Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
April 2012Final
Regulatory
February 2010Final
Customer Dispute
May 2009Award / Judgment
Customer Dispute
May 2009Award / Judgment
Employment Separation After Allegations
November 2008Customer Dispute
July 2008Pending
Customer Dispute
March 2002Settled
Customer Dispute
December 1994Settled
Employment History
Current Registrations
D/w Financial Consultants LLC
June 2013 - Present · 12 yrs 11 mos
Previous Registrations
Johnston, Lemon & CO. INC.
September 2007 - December 2008 · 1 yr 3 mos
Johnston Lemon Asset Management INC
September 1996 - February 2009 · 12 yrs 5 mos
Johnston, Lemon & CO. IncorporatedBroker
May 1979 - December 2008 · 29 yrs 7 mos
State Registrations2 states
DEMD
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.