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Michael Patrick Benvenuto

CRD# 1839351·Registered 1988 - 2011
Previously Registered: Being a previously registered professional could mean that Michael 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

Michael Patrick Benvenuto was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1988 - 2011. Michael had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 24 and Series 27 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

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

36 years in the financial services industry

Current & Past Employments

EKN FINANCIAL SERVICES INC.·CRD# 113525
BD
Melville, NY
January 27, 2009 - December 13, 2011
EKN FINANCIAL SERVICES INC.·CRD# 113525
BD
Woodbury, NY
February 11, 2002 - July 12, 2007
STONE HARBOR FINANCIAL SERVICES, LLC·CRD# 102320
BD
Freehold, NJ
July 5, 2001 - February 12, 2002
AUERBACH, POLLAK & RICHARDSON INC.·CRD# 29824
BD
Stamford, CT
January 31, 2001 - March 22, 2001
JANSSEN PARTNERS, INC.·CRD# 43940
BD
Fairfield, IA
May 1, 1998 - October 22, 2002
WINDSOR STREET CAPITAL, LP·CRD# 34171
BD
New York, NY
July 9, 1997 - July 15, 1999
DAVID LERNER ASSOCIATES, INC.·CRD# 5397
BD
Syosset, NY
August 15, 1991 - April 1, 1997
J F LOWE & COMPANY INCORPORATED·CRD# 11830
BD
January 20, 1989 - December 5, 1989
GREENTREE SECURITIES CORP.·CRD# 7372
BD
July 14, 1988 - December 23, 1988

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Current Firm

EF
EKN FINANCIAL SERVICES INC.

EHRENKRANTZ KING NUSSBAUM, INC. | EKN FINANCIAL SERVICES INC.

CRD#: 113525 / SEC#: 8-53346
BD
Cancelled by SEC on 11/20/2013

Contact Information

Established

Delaware since 01/16/2001

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
MARGATE CAPITAL, INCPARENT COMPANY—
BORGNER, RICHARD REISSCHIEF COMPLIANCE OFFICER1104666
GIUGLIANO, THOMAS MICHAELDIRECTOR2804591
OTTIMO, ANTHONY SRCHAIRMAN & DIRECTOR2974369

Disclosures

Regulatory Event

18

Arbitration

10

Judgment/Lien

1

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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 Nov 1992About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Apr 2004

Series 7 — General Securities Representative Examination

Passed Oct 1992About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 1997About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Aug 1991About the Series 27 exam

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CRS (Client Relationship Summary)

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

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