NB
Norman S. Benzaquen
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CRD#: 18785
NB
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.
Norman Salomon Benzaquen, who also goes by Norman S Benzaquen, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1972. Norman had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Norman S Benzaquen
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.
-Name of Business: Orchestra of St. Luke's -Is the business investment related: no -Is this OBA a charitable organization?: yes -Address: (this can also be a website) 450 West 37th Street, 10018; www.oslmusic.org -Nature of Business: music -Your position, title, or relationship to business: Chairman of the Board of Trustees -The start date of your relationship: 2000 -# of hours per month you dedicate to business: 5 hours/week -# of hours per month you dedicate to business during securities trading hours: 0 -Briefly describe your duties related to this business: chair meetings, fundraising, recruiting new board members -Name of Business: American Sephardic Federation -Is the business investment related: no -Is this OBA a charitable organization?: yes -Address: (this can also be a website) http://www.facebook.com/americansephardifederation -Nature of Business: Sephardic Jewish Assn. -Your position, title, or relationship to business: Board Member -The start date of your relationship: +20 years -# of hours per month you dedicate to business: 0 -# of hours per month you dedicate to business during securities trading hours: 0 -Briefly describe your duties related to this business: none; support financially -Name of Business: Center for Educational Innovation-Public Education Association -Is the business investment related: no -Is this OBA a charitable organization?: yes -Address: (this can also be a website) 28 West 44th Street, Suite 801, 10036;www.the-cei.org -Nature of Business: education -Your position, title, or relationship to business: Board Member -The start date of your relationship: 2011 -# of hours per month you dedicate to business: 0 -# of hours per month you dedicate to business during securities trading hours: 0 -Briefly describe your duties related to this business: support financially -Name of Business: New York Historical Society -Is the business investment related: no -Is this OBA a charitable organization?: yes -Address: (this can also be a website) 170 CPW, 10024; www.nyhistory.org -Nature of Business: New York history -Your position, title, or relationship to business: Trustee -The start date of your relationship: 2011 -# of hours per month you dedicate to business: 0 -# of hours per month you dedicate to business during securities trading hours: 0 -Briefly describe your duties related to this business: support financially
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®
NoneExperience
Past
May 27, 2021 - September 19, 2023
GILDER GAGNON HOWE & CO. LLC
RIA
CRD#: 2002
NEW YORK, NY
Past
February 23, 1984 - September 19, 2023
GILDER GAGNON HOWE & CO. LLC
BD
CRD#: 2002
NEW YORK, NY
Past
January 6, 1977 - September 30, 1979
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
BD
CRD#: 7013
Past
October 7, 1975 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
BD
CRD#: 116
Past
September 12, 1972 - February 6, 1975
BURNHAM & COMPANY INC.
BD
CRD#: 1000001
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".
GILDER GAGNON HOWE & CO. LLC
GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO
CRD#: 2002 / SEC#: 801-65667, 8-30196
RIA
Registered Investment Advisory firm - SEC (1/27/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York 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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/11/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
GILDER GAGNON HOWE & CO. LLC
GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO
CRD#: 2002 / SEC#: 801-65667, 8-30196
RIA
Registered Investment Advisory firm - SEC (1/27/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
475 Tenth Avenue 12th Floor, New York, NY 10018-1120
Mailing Address
475 Tenth Avenue, New York, NY 10018
Phone number
(212) 765-2500
Established
New York since 01/04/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
88
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOWE, DAVID STEWART | MANAGING MEMBER | 812707 |
| RIZAVI, SHAIZA MARIAM | CHIEF EXECUTIVE OFFICER / MANAGING MEMBER | 2874858 |
| ANDERSON, TRAVIS KNAPP | MANAGING MEMBER | 853424 |
| DEUTSCH, JAMES MICHAEL | CHIEF EXECUTIVE OFFICER/MANAGING MEMBER | 4565264 |
| MCCORMICK, MICHAEL PATRICK | MEMBER | 1857693 |
| ALI, SHAFQAT | CHIEF INFORMATION SECURITY OFFICER/MEMBER | 6009773 |
| ESPOSITO, LAURA MICHELE | CHIEF COMPLIANCE OFFICER | 6727167 |
| HUYNH, DAVID CO | CHIEF FINANCIAL OFFICER | 5443515 |
Regulatory assets under management
| Total Number of Accounts | 8,767 |
| AUM (Assets Under Management) | $ 11,604,602,601 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 09/20/2024 | ||
| 11/10/2023 | ||
| 12/15/2022 |
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.
