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BS

Bennett R. Stapleton

BLOOMBERG TRADEBOOK LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 4670158
BS

Professional summary

Bennett Robert Stapleton, who also goes by Ben Stapleton, is a registered financial professional currently at BLOOMBERG TRADEBOOK LLC located in New York, New York.

Bennett is registered as a RR (Registered Representative) and started their career in finance in 2005. Bennett has worked at 5 firms and has passed the Series 63, Series 7TO, Series 3, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ben Stapleton

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 Bennett Robert Stapleton'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

May 28, 2021 - Present

BLOOMBERG TRADEBOOK LLC

Office #1: 731 Lexington Ave, New York, NY 10022
BD
CRD#: 40881
New York, NY
Past

January 31, 2013 - February 6, 2015

OLIVETREE FINANCIAL, LLC

BD
CRD#: 154026
NEW YORK, NY
Past

May 2, 2012 - October 25, 2012

CAVU SECURITIES LLC

BD
CRD#: 6906
NEW YORK, NY
Past

February 19, 2008 - December 23, 2011

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

May 13, 2005 - January 25, 2008

G1 EXECUTION SERVICES, LLC

BD
CRD#: 111528
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
Alabama
(2/26/2024)
RR
Alaska
(2/26/2024)
RR
Arizona
(2/26/2024)
RR
Arkansas
(2/28/2024)
RR
California
(2/26/2024)
RR
Colorado
(2/26/2024)
RR
Connecticut
(1/30/2024)
RR
Delaware
(3/12/2024)
RR
District of Columbia
(2/28/2024)
RR
Florida
(1/30/2024)
RR
Georgia
(2/26/2024)
RR
Hawaii
(2/26/2024)
RR
Idaho
(2/5/2024)
RR
Illinois
(3/4/2024)
RR
Indiana
(2/26/2024)
RR
Iowa
(2/26/2024)
RR
Kansas
(2/26/2024)
RR
Kentucky
(2/28/2024)
RR
Louisiana
(2/26/2024)
RR
Maine
(2/26/2024)
RR
Maryland
(3/8/2024)
RR
Massachusetts
(2/26/2024)
RR
Michigan
(2/27/2024)
RR
Minnesota
(2/26/2024)
RR
Mississippi
(2/27/2024)
RR
Missouri
(2/26/2024)
RR
Montana
(2/26/2024)
RR
Nebraska
(2/27/2024)
RR
Nevada
(2/27/2024)
RR
New Hampshire
(2/27/2024)
RR
New Jersey
(2/26/2024)
RR
New Mexico
(2/27/2024)
RR
New York
(2/26/2024)
RR
North Carolina
(2/27/2024)
RR
North Dakota
(2/26/2024)
RR
Ohio
(2/26/2024)
RR
Oklahoma
(2/27/2024)
RR
Oregon
(2/25/2024)
RR
Pennsylvania
(2/26/2024)
RR
Puerto Rico
(2/13/2024)
RR
Rhode Island
(2/28/2024)
RR
South Carolina
(2/29/2024)
RR
South Dakota
(2/26/2024)
RR
Tennessee
(2/27/2024)
RR
Texas
(2/24/2024)
RR
Utah
(2/26/2024)
RR
Vermont
(2/26/2024)
RR
Virginia
(2/27/2024)
RR
Washington
(2/26/2024)
RR
West Virginia
(3/4/2024)
RR
Wisconsin
(2/26/2024)
RR
Wyoming
(2/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/23/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/27/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 4/6/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 4/24/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/12/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BT
BLOOMBERG TRADEBOOK LLC
BLOOMBERG TRADEBOOK | BLOOMBERG TRADEBROOK LLC | BLOOMBERG TRADEBOOK LLC

CRD#: 40881 / SEC#: , 8-49219

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

Main Address
731 Lexington Ave, New York, NY 10022
Mailing Address
731 Lexington Ave, New York, NY 10022
Phone number
(212) 617-4865
Established
Delaware since 03/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BLOOMBERG L.P.MANAGING MEMBER
KLEINBAUER, DEREK JOSEFCEO/PRESIDENT7279271
MILHAM, CHRISTOPHER MICHAELCHIEF FINANCIAL OFFICER, PFO, POO3092157
ROTELA, DOUGLAS MARTINCHIEF COMPLIANCE OFFICER5127496

Disclosures

Regulatory Event9

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

BLOOMBERG TRADEBOOK LLC

CRD#: 40881New York, NY 10022

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