Ben Brower
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.
Ben Brower was a registered financial professional .
Ben is a previously registered financial professional and started their career in finance in 2001. Ben had worked at 7 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 3, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2021 - June 9, 2022
EASTGATE SECURITIES, LLC
January 18, 2017 - April 27, 2021
EASTGATE SECURITIES, LLC
May 31, 2011 - October 19, 2016
REGAL SECURITIES, INC.
October 27, 2005 - May 27, 2011
TRANSCEND CAPITAL
February 10, 2005 - October 27, 2005
ELECTRONIC TRADING GROUP, LLC
January 7, 2004 - November 3, 2004
PECONIC SECURITIES LLC
April 1, 2003 - June 21, 2004
TRANSCEND CAPITAL
March 3, 2003 - March 25, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
May 25, 2001 - March 3, 2003
RUMSON CAPITAL, LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 7/26/2001
Limited Representative-Equity Trader ExamCurrent Firm
EASTGATE SECURITIES, LLC
CRD#: 146671 / SEC#: , 8-67837
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
