BH
Benjamin J. Harelick
WALL STREET ACCESS
Park Ridge, NJ 07656
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CRD#: 3063646
BH
Professional summary
Benjamin Josef Harelick is a registered financial professional currently at WALL STREET ACCESS located in Park Ridge, New Jersey.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1998. Benjamin has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Josef Harelick'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 27, 2018 - Present
WALL STREET ACCESS
Office #1: One Maynard Drive Suite 2201, Park Ridge, NJ 07656BD
CRD#: 10012
Park Ridge, NJ
Past
November 20, 2003 - April 23, 2018
TRADE MANAGE CAPITAL, INC.
BD
CRD#: 7263
SADDLE BROOK, NJ
Past
September 19, 2001 - October 15, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
September 21, 1998 - April 18, 2001
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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
Arizona(4/27/2018)
RR
California(4/27/2018)
RR
Connecticut(4/27/2018)
RR
Florida(5/15/2018)
RR
Illinois(5/9/2018)
RR
Indiana(5/15/2018)
RR
Kentucky(4/27/2018)
RR
Massachusetts(5/22/2018)
RR
Michigan(4/27/2018)
RR
Minnesota(4/27/2018)
RR
Nebraska(4/27/2018)
RR
New Jersey(4/27/2018)
RR
New York(4/27/2018)
RR
North Carolina(4/27/2018)
RR
North Dakota(4/27/2018)
RR
Ohio(4/27/2018)
RR
Oregon(5/17/2018)
RR
Pennsylvania(4/27/2018)
RR
South Carolina(4/27/2018)
RR
Texas(4/27/2018)
RR
Virginia(4/30/2018)
RR
Washington(5/15/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WS
WALL STREET ACCESS
WALL STREET ACCESS | WALL STREET INVESTOR SERVICES | WALL STREET CLEARING COMPANY
CRD#: 10012 / SEC#: , 8-25936
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
100 Wall Street, Suite 804, New York, NY 10005
Mailing Address
100 Wall Street, Suite 804, New York, NY 10005
Phone number
(212) 709-9400
Established
New York since 02/01/1981
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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.
