Leo J. Benjamin

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CRD#: 18114

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.

Leo Joseph Benjamin was a registered financial professional .

Leo is a previously registered financial professional and started their career in finance in 1964. Leo had worked at 8 firms and has passed the Series 63, SIE, Series 28 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 23, 1979 - October 10, 2016

BENJAMIN SECURITIES, INC.

CRD#: 7754

HAUPPAUGE, NY

Past

November 9, 1977 - August 2, 1979

DOMIK CORP.

CRD#: 223

Past

September 16, 1977 - January 20, 1978

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

March 27, 1974 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

Past

June 1, 1972 - July 3, 1972

WOOD WALKER & CO INC

CRD#: 1000002

Past

September 18, 1964 - April 4, 1974

SHEARSON, HAMMILL & CO., INCORPORATED

CRD#: 766

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BENJAMIN SECURITIES, INC.

BENJAMIN & FORGIONE CO., INC. | BENJAMIN SECURITIES, INC.

CRD#: 7754 / SEC#: 801-30987, 8-23518

RIA

Registered Investment Advisory firm - SEC (12/24/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/10/2016

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 28

Date: 7/29/2002

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 40

Date: 7/6/1978

Registered Principal Examination

Current Firm

BENJAMIN SECURITIES, INC.

BENJAMIN & FORGIONE CO., INC. | BENJAMIN SECURITIES, INC.

CRD#: 7754 / SEC#: 801-30987, 8-23518

RIA

Registered Investment Advisory firm - SEC (12/24/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

3 West Garden Street Suite 6, Albany, NY 12205

Mailing Address

3 West Garden Street Suite 407, Pensacola, FL 32502

Phone number

(516) 931-1090

Established

New York since 08/10/1977

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (4 States and Territories)

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A FIRM BROCHURE (9/29/2025)

Direct owners and executive officers

Name	Position	CRD#
BAKER GLOBAL ASSET MANAGEMENT, INC.	OWNER
BAKER, WILLIAM THOMAS	PRESIDENT,MSRB, CCO,AML COMPLIANCE OFFICER OF BENJAMIN SEC. & PRESIDENT,CEO,SHAREHOLDER OF BAKER GLOBAL ASSET	1804430
LAUNDRIE, THOMAS WILLIAM	VICE PRESIDENT/ ROSFP	1207021
STAMOVA, ILINA S	FINANCIAL OPERATIONS PRINCIPAL	5500851

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 33,609,905

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Leo J. Benjamin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DOMIK CORP.

PRUDENTIAL EQUITY GROUP, LLC

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

WOOD WALKER & CO INC

SHEARSON, HAMMILL & CO., INCORPORATED

Primary Firm SEC Registration

BENJAMIN SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/4/1985

SIE

Date: 10/10/2016

Series 28

Date: 7/29/2002

Series 40

Date: 7/6/1978

Current Firm

BENJAMIN SECURITIES, INC.

Contact information

SEC notice filing (4 States and Territories)

FINRA licenses (33 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BENJAMIN SECURITIES, INC.

TRUST BUT VERIFY

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