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Ben Leon Jennings

Investment Adviser Representative at SOUNDVIEW ADVISORS

Olympia, WACRD #2999507Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
22 yrs
States Registered
2 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
ArizonaWashington
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 9/13/2002
Series 65
Uniform Investment Adviser Law Examination
Passed 1/9/1998
Series 7
General Securities Representative Examination
Passed 8/22/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Less than $750,0001.25%
Next $750,000 to $3,000,0000.75%
Next $3,000,001 to $10,000,0000.50%
Next $10,000,001 and above0.40%
Source

Soundview Advisors Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

SOUNDVIEW ADVISORSCurrent
3/29/2010Olympia, WA
NAVIGATOR FINANCIAL PLANNING, INC.
2/21/20051/23/2010Lakewood, WA
RSM MCGLADREY, INC.
4/12/20026/9/2003Tacoma, WA

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at SOUNDVIEW ADVISORS

5 other advisors in the directory

View SOUNDVIEW ADVISORS firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Ben Leon Jennings has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Ben Leon Jennings - Financial Advisor in Olympia, WA | AdvisorFinder