Benjamin N. Gray

ICR CAPITAL LLC

New York, NY 10017

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CRD#: 1946982

Professional summary

Benjamin Nmn Gray, who also goes by Benjamin Gray, is a registered financial professional currently at ICR CAPITAL LLC located in New York, New York and PEI GLOBAL PARTNERS LLC located in New York, New York.

Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1990. Benjamin has worked at 24 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 62, Series 14, Series 53, Series 10, Series 4, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Benjamin Gray

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) - BD

Click below to view Benjamin Nmn Gray's CRS (Customer Relationship Summary).

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

Current

July 30, 2019 - Present

ICR CAPITAL LLC

Office #1: 685 Third Avenue 2nd Floor, New York, NY 10017

CRD#: 174952

New York, NY

Current

October 16, 2020 - Present

PEI GLOBAL PARTNERS LLC

Office #1: 601 Lexington Avenue 55th Floor, New York, NY, 10022

CRD#: 297979

New York, NY

Current

November 26, 2024 - Present

CAUSEWAY SECURITIES LLC

Office #1: 845 3rd Ave, Floor 6, New York, NY 10022

CRD#: 315829

NEW YORK, NY

Past

April 18, 2023 - October 10, 2024

MMM SECURITIES LLC

CRD#: 318021

Boca Raton, FL

Past

March 29, 2023 - September 30, 2025

OUTCOME CAPITAL, LLC

CRD#: 100960

BOSTON, MA

Past

July 14, 2022 - August 25, 2023

GB CAPITAL MARKETS LLC

CRD#: 25591

New York, NY

Past

February 16, 2022 - December 23, 2022

CONVEX CAPITAL MARKETS LLC

CRD#: 311875

NEW YORK, NY

Past

April 25, 2020 - March 22, 2025

RADIUS SECURITIES LLC

CRD#: 286256

New York, NY

Past

December 10, 2018 - April 18, 2019

TWO RIVERS TRADING GROUP LLC

CRD#: 158549

NEW YORK, NY

Past

August 29, 2017 - March 15, 2018

OPTIMA SECURITIES LLC

CRD#: 168881

New York, NY

Past

January 13, 2017 - November 26, 2018

PREP SECURITIES, LLC

CRD#: 188522

Park City, UT

Past

December 10, 2015 - January 3, 2017

SEIDEL & CO., LLC

CRD#: 42821

Jackson, NJ

Past

October 7, 2015 - January 27, 2017

HUNTWICKE SECURITIES, LLC

CRD#: 146993

Oceanport, NJ

Past

February 2, 2010 - April 30, 2015

SEIDEL & CO., LLC

CRD#: 42821

NEW YORK, N. Y., NY

Past

June 3, 2008 - January 30, 2009

DIMENSION BROKERAGE, LLC

CRD#: 136257

NEW YORK, NY

Past

June 3, 2008 - January 29, 2010

DIMENSION SECURITIES, LLC

CRD#: 139543

RED BANK, NJ

Past

May 5, 2008 - June 12, 2008

VDM CAPITAL MARKETS, LLC

CRD#: 137874

NEW YORK, NY

Past

May 5, 2008 - June 20, 2008

VDM TRADING, LLC

CRD#: 137999

NEW YORK, NY

Past

May 17, 2007 - March 27, 2008

EQUITY TRADING ONLINE, LLC

CRD#: 104038

NEW YORK, NY

Past

January 5, 2006 - November 29, 2006

XTF MARKET MAKING LLC

CRD#: 104308

NEW YORK, NY

Past

January 5, 2006 - November 29, 2006

WYNSTON HILL CAPITAL, LLC

CRD#: 103811

NEW YORK, NY

Past

December 6, 2005 - January 3, 2006

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

October 18, 2002 - December 2, 2005

SEIDEL & CO., LLC

CRD#: 42821

NEW YORK, NY

Past

October 10, 2001 - January 3, 2002

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

Past

June 23, 1998 - October 9, 2001

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

Past

July 24, 1992 - May 27, 1997

DINA SECURITIES, INC.

CRD#: 25893

WAYNE, NJ

Past

May 25, 1990 - April 23, 1993

ALL-TECH DIRECT, INC.

CRD#: 13992

MONTVALE, NJ

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/30/2019)

Connecticut
(7/30/2019)

Florida
(11/21/2022)

Maryland
(7/30/2019)

New York
(7/30/2019)

Texas
(1/15/2021)

Exams

State Security Law Exam

Series 63

Date: 6/20/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/3/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/1/1996

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 5/23/1990

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 9/20/2012

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 12/31/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 11/21/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 9

Date: 8/29/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/1991

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAUSEWAY SECURITIES LLC

CRD#: 315829 / SEC#: , 8-70789

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

845 3rd Ave, Floor 6, New York, NY 10022

Mailing Address

845 3rd Ave, Floor 6, New York, NY 10022

Phone number

(224) 370-3769

Established

Florida since 06/25/2021

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAUSEWAY SECURITIES LIMITED	MEMBER
BRUDIE, DONALD THOMAS JR	CEO	2443236
GRAY, BENJAMIN NMN	CCO	1946982
ROTHENBERG, SHARI P	CFO	6590875

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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Advisor Monitoring

Firm Stability Insights

Benjamin N. Gray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin Nmn Gray's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEI GLOBAL PARTNERS LLC

CAUSEWAY SECURITIES LLC

MMM SECURITIES LLC

OUTCOME CAPITAL, LLC

GB CAPITAL MARKETS LLC

CONVEX CAPITAL MARKETS LLC

RADIUS SECURITIES LLC

TWO RIVERS TRADING GROUP LLC

OPTIMA SECURITIES LLC

PREP SECURITIES, LLC

SEIDEL & CO., LLC

HUNTWICKE SECURITIES, LLC

SEIDEL & CO., LLC

DIMENSION BROKERAGE, LLC

DIMENSION SECURITIES, LLC

VDM CAPITAL MARKETS, LLC

VDM TRADING, LLC

EQUITY TRADING ONLINE, LLC

XTF MARKET MAKING LLC

WYNSTON HILL CAPITAL, LLC

JOSEPH GUNNAR & CO. LLC

SEIDEL & CO., LLC

TAFFERER TRADING, LLC

TAFFERER TRADING, LLC

DINA SECURITIES, INC.

ALL-TECH DIRECT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/1990

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 12/3/1999

Series 7

Date: 7/1/1996

Series 62

Date: 5/23/1990

Series 14

Date: 1/2/2023

Series 53

Date: 9/20/2012

Series 10

Date: 12/31/2001

Series 4

Date: 11/21/2001

Series 9

Date: 8/29/2001

Series 24

Date: 5/21/1991

FINRA

Current Firm

CAUSEWAY SECURITIES LLC

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAUSEWAY SECURITIES LLC

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