Benalder Bayse
Professional summary
Being a previously registered professional could mean that this person 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.
Benalder Bayse JR, who also goes by Ben Bayse, Benalder Jr Bayse, was a registered financial professional .
Benalder is a previously registered financial professional and started their career in finance in 1982. Benalder had worked at 5 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 1997 - November 30, 2000
NATIVE NATIONS SECURITIES, INC.
December 13, 1996 - May 21, 1997
MERIT CAPITAL ASSOCIATES, INC.
February 27, 1990 - March 17, 1992
S.N. PHELPS & CO.
April 13, 1988 - November 1, 1989
FIRST INVESTORS MANAGEMENT COMPANY, INC.
September 24, 1982 - October 2, 1987
UBS ASSET MANAGEMENT (US) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIVE NATIONS SECURITIES, INC.
CRD#: 334 / SEC#: , 8-16086
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LENNON, JUSTINE HELEN | SHAREHOLDER | 1444196 |
| REDHORSE, VALERIE ROCHELLE LITTLE STAR | DIRECTOR, CHAIRPERSON, SHAREHOLDER | 3160944 |
| GUERRERO, KIMBERLY MICHELLE | SHAREHOLDER | |
| DINETTA, RICHARD ANTHONY | EXECUTIVE VICE PRESIDENT | 68332 |
| KAZLOWSKI, PHILIP JAMES | EXECUTIVE VICE PRESIDENT | 265643 |
| LENNON, PAUL THOMAS | DIRECTOR | 2046208 |
| PHILLIPS, JOSEPH HASKELL | EXECUTIVE VICE PRESIDENT | 1847012 |
| SAVAGE, PAUL HUNTINGTON | CEO, DIRECTOR | 1485589 |
| SHELDRICK, MALCOLM BRISTOL JR | DIRECTOR AND EXECUTIVE VICE PRESIDENT | 421177 |
| SMITH, JAMES FREDERICK | PRESIDENT/CFO AND DIRECTOR | 823032 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 4 |
Red Flags
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.
