RB
Robert V. Benjamin
TRUIST SECURITIES
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 2977542
RB
Professional summary
Robert Vincent Benjamin, who also goes by Robert V Benjamin, is a registered financial professional currently at TRUIST SECURITIES, INC. located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 8 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 7, Series 53, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert V Benjamin
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert Vincent Benjamin'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®
NoneExperience
Current
April 11, 2018 - Present
TRUIST SECURITIES, INC.
Office #1: 50 Hudson Yards Fl 69 & 70, New York, NY 10001BD
CRD#: 6271
NEW YORK, NY
Past
May 24, 2016 - April 3, 2018
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 19, 2015 - April 29, 2016
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 19, 2010 - March 27, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
new york, NY
Past
November 9, 2004 - July 27, 2006
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
NEW YORK, NY
Past
September 8, 2004 - August 31, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
March 1, 2000 - September 23, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 9, 1998 - February 24, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
BD
CRD#: 38293
NEW YORK, NY
Past
January 5, 1998 - October 6, 1998
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/11/2018)
RR
Alaska(4/11/2018)
RR
Arizona(4/11/2018)
RR
Arkansas(4/11/2018)
RR
California(4/11/2018)
RR
Colorado(4/11/2018)
RR
Connecticut(4/11/2018)
RR
Delaware(4/11/2018)
RR
District of Columbia(4/11/2018)
RR
Florida(4/11/2018)
RR
Georgia(4/11/2018)
RR
Hawaii(4/11/2018)
RR
Idaho(4/11/2018)
RR
Illinois(4/11/2018)
RR
Indiana(4/11/2018)
RR
Iowa(4/11/2018)
RR
Kansas(4/11/2018)
RR
Kentucky(4/11/2018)
RR
Louisiana(4/11/2018)
RR
Maine(4/11/2018)
RR
Maryland(4/11/2018)
RR
Massachusetts(4/11/2018)
RR
Michigan(4/11/2018)
RR
Minnesota(4/11/2018)
RR
Mississippi(4/11/2018)
RR
Missouri(4/11/2018)
RR
Montana(4/11/2018)
RR
Nebraska(4/11/2018)
RR
Nevada(4/11/2018)
RR
New Hampshire(4/11/2018)
RR
New Jersey(4/11/2018)
RR
New Mexico(4/11/2018)
RR
New York(4/11/2018)
RR
North Carolina(4/12/2018)
RR
North Dakota(4/11/2018)
RR
Ohio(4/11/2018)
RR
Oklahoma(4/11/2018)
RR
Oregon(4/11/2018)
RR
Pennsylvania(4/11/2018)
RR
Puerto Rico(4/11/2018)
RR
Rhode Island(4/11/2018)
RR
South Carolina(4/11/2018)
RR
South Dakota(4/11/2018)
RR
Tennessee(4/11/2018)
RR
Texas(4/11/2018)
RR
Utah(4/11/2018)
RR
Vermont(4/11/2018)
RR
Virginia(4/11/2018)
RR
Washington(4/11/2018)
RR
West Virginia(4/11/2018)
RR
Wisconsin(4/11/2018)
RR
Wyoming(4/11/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 3/7/2019
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION
CRD#: 6271 / SEC#: , 8-17212
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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.
