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Benjamin J. Dean

SRT SECURITIES LLC
Prosper, TX 75078
Some features on this profile are disabled
CRD#: 4664959
BD

Professional summary

Benjamin James Dean, who also goes by Benjamin James Dean, Ben Dean, is a registered financial professional currently at SRT SECURITIES LLC located in Prosper, Texas.

Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2003. Benjamin has worked at 8 firms and has passed the Series 63, Series 65, Series 57TO, Series 7TO, SIE, Series 56 and Series 7A exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Benjamin James Dean | Ben Dean

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.
Registered Representative may be coded as employee of parent or an affiliate of the parent. The employee may also have various roles for the Firm's affiliates including but not limited to Board positions, please refer to Item 12, employment section, of the U4 for information. Hours may vary as dictated by corporate needs.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin James Dean'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

August 14, 2025 - Present

SRT SECURITIES LLC

Office #1: 130 N. Preston Rd Unit 214, Prosper, TX 75078
BD
CRD#: 33725
Prosper, TX
Past

November 6, 2023 - February 6, 2024

STONEX ADVISORS INC.

RIA
CRD#: 174182
DALLAS, TX
Past

April 4, 2023 - February 6, 2024

STONEX FINANCIAL INC.

BD
CRD#: 45993
Dallas, TX
Past

February 23, 2021 - May 16, 2022

SG3 MANAGEMENT, LLC

RIA
CRD#: 285449
Southlake, TX
Past

October 24, 2011 - December 3, 2012

PRIME INTERNATIONAL SECURITIES ARBIRAGE, LLC

BD
CRD#: 155784
CHICAGO, IL
Past

March 9, 2006 - January 31, 2008

SUSQUEHANNA SECURITIES, LLC

BD
CRD#: 35874
BALA CYNWYD, PA
Past

March 9, 2006 - January 31, 2008

SUSQUEHANNA INVESTMENT GROUP

BD
CRD#: 33875
BALA CYNWYD, PA
Past

May 29, 2003 - March 10, 2006

SIG BROKERAGE, LP

BD
CRD#: 100400
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
Texas
(8/14/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/20/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/22/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 5/4/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/4/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/10/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 10/21/2011
Proprietary Trader Qualification Examination
General Industry/Product Exam
RR
Series 7A
Date: 5/25/2005
Floor Broker Representative Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Texas, Inc.

Current Firm

SS
SRT SECURITIES LLC
ISRAEL A. ENGLANDER & CO., INC. | SRT SECURITIES LLC | ISRAEL A. ENGLANDER & CO., LLC

CRD#: 33725 / SEC#: , 8-34415

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

Main Address
416 Hawthorne Street, Birmingham, MI 48009
Mailing Address
416 Hawthorne Street, Birmingham, MI 48009
Phone number
(917) 282-4757
Established
Delaware since 05/24/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SRT SECURITIES INC.MEMBER
FRUCHTER, MICHAEL ALANCFO/FINANCIAL & OPERATIONS PRINCIPAL4202965
TOBIAS, STEPHEN RORYPRESIDENT, CCO, S.R.O.P. & C.R.O.P.1267337

Disclosures

Regulatory Event24

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

SRT SECURITIES LLC

CRD#: 33725Prosper, TX 75078

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