Richard D. Benjamin
Professional summary
Richard Dyke Benjamin is a registered financial professional currently at AXIOM CAPITAL MANAGEMENT, INC. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1969. Richard has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Dyke Benjamin's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 2009 - Present
AXIOM CAPITAL MANAGEMENT, INC.
Office #1: 350 Fifth Avenue Suite 6740, New York, NY 10118April 1, 2004 - July 20, 2009
LAZARD ASSET MANAGEMENT SECURITIES LLC
June 5, 2003 - October 5, 2009
LAZARD ASSET MANAGEMENT LLC
September 10, 1973 - April 1, 2004
LAZARD FRERES & CO. LLC
July 2, 1969 - September 30, 1973
STONE & WEBSTER SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/28/2009)
(10/7/2010)
(7/27/2009)
(10/7/2010)
(7/27/2009)
(1/3/2018)
(7/28/2009)
(7/28/2009)
(5/25/2012)
(7/27/2009)
(7/8/2009)
(10/8/2010)
(12/8/2016)
(1/3/2018)
(12/22/2021)
(11/15/2021)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 00
Date: 6/23/1969
General Securities Principal ExaminationFINRA
Nasdaq Stock Market
Current Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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