Benjamin M. Auslander

INDEPENDENCE SQUARE HOLDINGS

King Of Prussia, PA 19406

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CRD#: 2526356

Professional summary

Benjamin Morris Auslander is a registered financial advisor currently at INDEPENDENCE SQUARE HOLDINGS, LLC located in King Of Prussia, Pennsylvania.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Benjamin has worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Benjamin Morris Auslander's CRS (Customer Relationship Summary).

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

March 23, 2021 - Present

INDEPENDENCE SQUARE HOLDINGS, LLC

Office #1: 150 South Warner Road Suite 300, King Of Prussia, PA 19406

RIA

CRD#: 300139

King Of Prussia, PA

Past

October 5, 2015 - May 16, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WEST CONSHOHOCKEN, PA

Past

October 1, 2015 - May 16, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WEST CONSHOHOCKEN, PA

Past

May 9, 2014 - September 1, 2015

VERITABLE LP

RIA

CRD#: 130758

NEWTOWN SQUARE, PA

Past

September 2, 2010 - March 5, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

PHILADELPHIA, PA

Past

August 25, 1994 - September 23, 2010

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

INDEPENDENCE SQUARE HOLDINGS, LLC

CRD#: 300139 / SEC#: 801-116750

RIA

Registered Investment Advisory firm - (6/7/2019 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(3/23/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/23/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/22/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/9/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/31/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/24/1994

General Securities Representative Examination

Current Firm

INDEPENDENCE SQUARE HOLDINGS, LLC

CRD#: 300139 / SEC#: 801-116750

RIA

Registered Investment Advisory firm - (6/7/2019 Approved)

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Contact information

Main Address

150 South Warner Road Suite 300, King Of Prussia, PA 19406

Mailing Address

Phone number

(610) 520-1500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/31/2025)

FORM ADV PART 2A FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,985
AUM (Assets Under Management)	$ 1,488,010,409

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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Benjamin M. Auslander

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Morris Auslander's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VERITABLE LP

J.P. MORGAN SECURITIES LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

INDEPENDENCE SQUARE HOLDINGS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2021

Series 66

Date: 10/22/2004

Series 63

Date: 9/9/1994

SIE

Date: 5/16/2017

Series 3

Date: 8/31/1994

Series 7

Date: 8/24/1994

Current Firm

INDEPENDENCE SQUARE HOLDINGS, LLC

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENCE SQUARE HOLDINGS, LLC

TRUST BUT VERIFY

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