Benjamin K. Lathrop
Professional summary
Benjamin Kane Lathrop is a registered financial advisor currently at BAILARD, INC. located in Larchmont, New York.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Benjamin has worked at 8 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Kane Lathrop's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 28, 2019 - Present
BAILARD, INC.
February 14, 2019 - June 20, 2019
NEWOAK CAPITAL MARKETS LLC
April 1, 2011 - November 21, 2012
APOLLO GLOBAL SECURITIES, LLC
September 28, 2010 - January 13, 2011
CITIGROUP GLOBAL MARKETS INC.
March 2, 2009 - January 13, 2011
CITIGROUP GLOBAL MARKETS INC.
August 17, 2007 - October 16, 2008
BEAR STEARNS ASSET MANAGEMENT INC.
April 19, 2007 - October 16, 2008
J.P. MORGAN SECURITIES LLC
March 9, 2005 - March 22, 2007
UST SECURITIES CORP.
February 28, 2000 - January 21, 2004
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
BAILARD, INC.
CRD#: 110550 / SEC#: 801-8562
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/28/2019)
(9/21/2021)
Exams
Series 7TO
Date: 2/8/2019
General Securities Representative ExaminationCurrent Firm
BAILARD, INC.
CRD#: 110550 / SEC#: 801-8562
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,573 |
| AUM (Assets Under Management) | $ 6,538,323,255 |
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.
