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Benalder Bayse Jr

CRD# 1067364·Registered 1982 - 2000
Previously Registered: Being a previously registered professional could mean that Benalder is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Benalder Bayse JR, who also goes by Ben Bayse, Benalder Jr Bayse, was a registered financial advisor. Benalder was a previously registered financial professional and started their career in finance 1982 - 2000. Benalder had worked at 5 firms and has passed the Series 63, Series 7 and Series 3 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ben Bayse, Benalder Jr Bayse

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

NATIVE NATIONS SECURITIES, INC.·CRD# 334
BD
Jersey City, NJ
June 4, 1997 - November 30, 2000
MERIT CAPITAL ASSOCIATES, INC.·CRD# 30576
BD
Westport, CT
December 13, 1996 - May 21, 1997
S.N. PHELPS & CO.·CRD# 18341
BD
February 27, 1990 - March 17, 1992
FIRST INVESTORS MANAGEMENT COMPANY, INC.·CRD# 1844
BD
April 13, 1988 - November 1, 1989
UBS ASSET MANAGEMENT (US) INC.·CRD# 583
BD
September 24, 1982 - October 2, 1987

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Current Firm

NN
NATIVE NATIONS SECURITIES, INC.

FREEMAN SECURITIES COMPANY, INC. | NATIVE NATIONS SECURITIES, INC.

CRD#: 334 / SEC#: 8-16086
BD
Cancelled by SEC on 10/04/2006

Contact Information

Established

New Jersey since 05/30/1976

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
LENNON, JUSTINE HELENSHAREHOLDER1444196
REDHORSE, VALERIE ROCHELLE LITTLE STARDIRECTOR, CHAIRPERSON, SHAREHOLDER3160944
GUERRERO, KIMBERLY MICHELLESHAREHOLDER—
DINETTA, RICHARD ANTHONYEXECUTIVE VICE PRESIDENT68332
KAZLOWSKI, PHILIP JAMESEXECUTIVE VICE PRESIDENT265643
LENNON, PAUL THOMASDIRECTOR2046208
PHILLIPS, JOSEPH HASKELLEXECUTIVE VICE PRESIDENT1847012
SAVAGE, PAUL HUNTINGTONCEO, DIRECTOR1485589
SHELDRICK, MALCOLM BRISTOL JRDIRECTOR AND EXECUTIVE VICE PRESIDENT421177
SMITH, JAMES FREDERICKPRESIDENT/CFO AND DIRECTOR823032

Disclosures

Regulatory Event

4

Civil Event

4

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1996About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Nov 1992About the Series 3 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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