Adam M. Bench
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.
Adam Marc Bench was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1985. Adam had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 27, Series 24, Series 10, Series 9, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2016 - July 17, 2020
OPPENHEIMER & CO. INC.
December 14, 2016 - July 17, 2020
OPPENHEIMER & CO. INC.
January 30, 2015 - December 8, 2016
B. RILEY WEALTH MANAGEMENT
January 20, 2015 - December 8, 2016
B. RILEY WEALTH MANAGEMENT
September 23, 2011 - January 26, 2015
DOMINICK & DICKERMAN LLC
September 7, 2011 - January 26, 2015
DOMINICK & DICKERMAN LLC
June 1, 2009 - September 13, 2011
MORGAN STANLEY
March 5, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 13, 2001 - February 27, 2002
DEUTSCHE BANK SECURITIES INC.
June 1, 2000 - January 13, 2001
DB ALEX. BROWN LLC
October 25, 1985 - July 28, 2000
BENCH SECURITIES CORP.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
Series 7TO
Date: 3/25/2024
General Securities Representative ExaminationSeries 52TO
Date: 3/25/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 3/25/2024
Operations Professional ExaminationSeries 55
Date: 10/21/1999
Limited Representative-Equity Trader ExamCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
