BENJAMIN SECURITIES, INC. of ALBANY, NY is an SEC-registered investment adviser (CRD 7754). Regulatory assets under management: $33.6M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Benjamin Joseph | FINANCIAL OPERATIONS PRINCIPAL, MSRB PRINCIPAL; MSRB PRINCIPAL; PRESIDENT (+1 more) | LONDON, X0 |
| Thomas William Laundrie | VICE PRESIDENT/ ROSFP | — |
| William Thomas Baker | PRESIDENT,MSRB, CCO,AML COMPLIANCE OFFICER OF BENJAMIN SEC. & PRESIDENT,CEO,SHAREHOLDER OF BAKER GLOBAL ASSET; SHAREHOLDER | — |
| Ilina S Stamova | FINANCIAL OPERATIONS PRINCIPAL | — |
| LAUNDRIE THOMAS WILLIAM | VICE PRESIDENT/ CROP; VICE PRESIDENT/ ROSFP | — |
| BAKER WILLIAM THOMAS | PRESIDENT,CHIEF COMPLIANCE OFFICER,AML COMPLIANCE OFFICER OF BENJAMIN SEC. & PRESIDENT,CEO,SHAREHOLDER OF BAKER GLOBAL ASSET; PRESIDENT,MSRB, CCO,AML COMPLIANCE OFFICER OF BENJAMIN SEC. & PRESIDENT,CEO,SHAREHOLDER OF BAKER GLOBAL ASSET; SHAREHOLDER | — |
| BENJAMIN ANNA MARIE | VICE PRESIDENT/ SECRETARY | — |
| SEPANSKI ROSEMARIE COSTA | VICE PRESIDENT/ CROP | — |
| QUIGLEY WILLIAM MICHAEL | VICE PRESIDENT /SROP | — |
| GETTENBERG GARY | FINANACIAL OPERATIONS PRINCIPAL | — |
| STAMOVA ILINA S | FINANCIAL OPERATIONS PRINCIPAL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 1991-07-01 | regulatory | ON 7/1/91, THE STATE OF MARYLAND SECURITIES DIVISION APPROVED THE APPLICATION OF BENJAMIN SECURITIES, INC. FOR REGISTRATION AS A BD UPON THE EXECUTION OF A CONSENT ORDER AND PAYMENT OF AN ADMINISTRATIVE FINE OF $1,000.00 FOR TRANSACTING SECURITIES IN MARYLAND PRIOR TO REGISTRATION. | Final | $1K |
| — | regulatory | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| PENSACOLA | FL | 1 | 516-931-1090 |
| PENSACOLA | FL | 1 | 516-931-1090 |