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BG

Ben Gaynes

Some features on this profile are disabled
CRD#: 219043
BG

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.

Ben Gaynes JR was a registered financial professional .

Ben is a previously registered financial professional and started their career in finance in 1969. Ben had worked at 9 firms and has passed the Series 63, SIE, PC and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

October 5, 2005 - December 22, 2020

SCARSDALE EQUITIES LLC

BD
CRD#: 134602
NEW YORK, NY
Past

September 14, 2000 - August 24, 2005

BRIMBERG & CO.

BD
CRD#: 1315
NEW YORK, NY
Past

January 2, 1986 - December 18, 1998

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

October 1, 1985 - January 10, 1986

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
Past

January 26, 1979 - October 1, 1985

JII SECURITIES INC.

BD
CRD#: 406
Past

March 8, 1976 - February 11, 1978

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

BD
CRD#: 595
Past

September 5, 1974 - June 13, 1976

JOSEPH SEBAG INCORPORATED

BD
CRD#: 3323
Past

August 21, 1973 - August 30, 1974

MENDELSON GAYNES INC

BD
CRD#: 1000002
Past

May 5, 1969 - October 4, 1973

CLARK, DODGE & CO., INCORPORATED

BD
CRD#: 161

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
RR
Series 63
Date: 7/24/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 7/5/1991
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 1/10/1957
Registered Representative Examination

Current Firm

SE
SCARSDALE EQUITIES LLC
SCARSDALE EQUITIES LLC

CRD#: 134602 / SEC#: , 8-66845

BD
Terminated by SEC on 02/21/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MLYNARCZYK, FRANCIS ALEXANDERMANAGING MEMBER, CEO, CCO, FINOP, AMLCO2250955
FITZGERALD, HEATHER MARIECHIEF FINANCIAL OFFICER4427665

Disclosures

Regulatory Event1

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.

Company Information

SCARSDALE EQUITIES LLC

CRD#: 134602

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