BENJAMIN SECURITIES, INC.
Adviser information for BENJAMIN SECURITIES, INC. last updated from Form ADV on September 28th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 72 | $19.1M |
| Non-Discretionary | 4 | $6.9M |
| Total | 76 | $26.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 67 | $11.1M |
| HNW Individuals | 8 | $13.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $1.0M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-30987 |
|---|---|
| SEC ERA File Number | 801-30987 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 7754 |
| Legal Entity Identifier | None |
Principal Office
750 VETERANS MEMORIAL HIGHWAYSUITE 210
HAUPPAUGE
NY
United States
Monday - Friday, 9-5
Tel: 516-931-1090, Fax: 516-931-2153
Websites
Chief Compliance Officer
WILLIAM T.BAKER
PRESIDENT/CHIEF COMPLIANCE OFFICER
750 VETERANS MEMORIAL HIGHWAY
SUITE 210
HAUPPAUGE
NY
United States
Tel:
516-931-1090
Fax:
516-931-2153
W*****@*********************M
(Full email address available in API data)
Regulatory Contact
THOMAS LAUNDRIE
750 VETERANS MEMORIAL HWY
SUITE 210
HAUPPAUGE
NY
United States
Tel:
516-931-1090
T********@*********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LAUNDRIE, THOMAS WILLIAM | Individual | – | VICE PRESIDENT/ ROSFP | 06/2009 | < 5% |
| BAKER GLOBAL ASSET MANAGEMENT, INC. | Domestic Entity | – | OWNER | 08/2011 | > 75% |
| BAKER, WILLIAM THOMAS | Individual | – | PRESIDENT,MSRB, CCO,AML COMPLIANCE OFFICER OF BENJAMIN SEC. & PRESIDENT,CEO,SHAREHOLDER OF BAKER GLOBAL ASSET | 08/2011 | < 5% |
| BAKER, WILLIAM THOMAS | Individual | BAKER GLOBAL ASSET MANAGEMENT, INC. | SHAREHOLDER | 08/2011 | > 75% |
| STAMOVA, ILINA S | Individual | – | FINANCIAL OPERATIONS PRINCIPAL | 06/2017 | < 5% |