Benjamin Black
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 Black was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1998. Benjamin had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2012 - February 26, 2014
LADDER CAPITAL SECURITIES LLC
January 6, 2011 - May 8, 2012
MORGAN STANLEY & CO. LLC
September 27, 2006 - May 21, 2008
UBS SECURITIES LLC
October 20, 1998 - August 25, 2006
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
LADDER CAPITAL SECURITIES LLC
CRD#: 151403 / SEC#: , 8-68368
Contact information
Documents
Disclosures
| Regulatory Event | 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.
