Benjamin J. Waldman
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.
Benjamin Jay Waldman was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1994. Benjamin had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2015 - June 27, 2017
SIGNET FINANCIAL MANAGEMENT, LLC
January 10, 2012 - September 12, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 10, 2012 - September 12, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 13, 2007 - January 17, 2012
HSBC SECURITIES (USA) INC.
February 9, 2007 - January 17, 2012
HSBC SECURITIES (USA) INC.
December 12, 2005 - February 13, 2007
CHASE INVESTMENT SERVICES CORP.
December 9, 2005 - February 13, 2007
CHASE INVESTMENT SERVICES CORP.
March 7, 2003 - April 16, 2004
TRAUTMAN WASSERMAN & COMPANY, INC.
October 29, 2002 - April 4, 2003
RBC CAPITAL MARKETS, LLC
March 9, 2002 - April 4, 2003
RBC CAPITAL MARKETS, LLC
August 17, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
August 5, 2000 - September 15, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 29, 1996 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
December 12, 1994 - July 24, 1996
GRUNTAL & CO., L.L.C.
September 13, 1994 - December 7, 1994
ROBERT TODD FINANCIAL CORP.
Primary Firm SEC Registration
SIGNET FINANCIAL MANAGEMENT, LLC
CRD#: 105310 / SEC#: 801-31294
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SIGNET FINANCIAL MANAGEMENT, LLC
CRD#: 105310 / SEC#: 801-31294
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,907 |
| AUM (Assets Under Management) | $ 1,058,245,741 |
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.
