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BH

Benjamin D. Herman

ING FINANCIAL MARKETS LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 4568778
BH

Professional summary

Benjamin David Herman is a registered financial professional currently at ING FINANCIAL MARKETS LLC located in New York, New York.

Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2002. Benjamin has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin David Herman'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®
None

Experience

Current

March 22, 2024 - Present

ING FINANCIAL MARKETS LLC

Office #1: 1133 Avenue Of The Americas, New York, NY 10036
BD
CRD#: 28872
New York, NY
Past

September 26, 2002 - March 18, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, 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
New York
(9/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/22/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/1/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IF
ING FINANCIAL MARKETS LLC
ING (U.S.) SECURITIES, FUTURES & OPTIONS INC. | QUANTUM SECURITIES, INC. | ING SECURITIES DERIVATIVES CLEARING | ING SECURITIES & OPTIONS | ING FINANCIAL MARKETS LLC | ING BARINGS CORP.

CRD#: 28872 / SEC#: , 8-43978

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1133 Avenue Of The Americas, New York, NY 10036
Mailing Address
1133 Avenue Of The Americas, New York, NY 10036
Phone number
(646) 424-6000
Established
Delaware since 11/06/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ING FINANCIAL HOLDINGS CORPORATIONSOLE SHAREHOLDER
BENETREU, LINDA MARIANNEDIRECTOR6448656
CICCHILLO, DARREN THOMASCHIEF OPERATING OFFICER2261428
MAESTAS, ADRIANA EMILIAGENERAL COUNSEL7415275
MCCARTHY, JOHNCHIEF COMPLIANCE OFFICER4117424
MEYER, KATHARYN ARABELA BOYLECHIEF EXECUTIVE OFFICER3063186
SCHAEFFER, ANDREW DAVIDDIRECTOR1817568
TORNIJ, MARKDIRECTOR7337753
WOLVIUS, JOHANNES DERKCHIEF FINANCIAL OFFICER7053218

Disclosures

Regulatory Event10

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.

Company Information

ING FINANCIAL MARKETS LLC

CRD#: 28872New York, NY 10036

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