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AB

Andrew Benjamin

HOULIHAN LOKEY CAPITAL
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 4815728
AB

Professional summary

Andrew Benjamin, who also goes by Andrew Sherman Benjamin, is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in Los Angeles, California.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Sherman Benjamin

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 Andrew Benjamin'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 10, 2015 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
BD
CRD#: 17708
Los Angeles, CA
Past

March 9, 2011 - April 8, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

September 21, 2010 - April 8, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 17, 2004 - August 18, 2004

HALCYON CABOT PARTNERS, LTD.

BD
CRD#: 32664
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
California
(8/24/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/8/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/10/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HL
HOULIHAN LOKEY CAPITAL, INC.
HLHZ CAPITAL, A CALIFORNIA LIMITED PARTNERSHIP | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, L.P. | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

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

Main Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Mailing Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Phone number
(310) 553-8871
Established
California since 01/09/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLCDIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPHPRESIDENT/CEO AND DIRECTOR (HLI)2147111
ALLEY, JAMES LINDSEYTREASURER/CHIEF FINANCIAL OFFICER (HLI)2394515
BEISER, SCOTT LEEVICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)2026185
BEN-CANAAN, MARC AVICCO/AMLCO4885345
CRAIN, CHRISTOPHER MADISONSECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEALCHIEF FINANCIAL OFFICER, FINOP4632869
YAMARONE, CHARLES ANTHONY IIICHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI2190400

Disclosures

Regulatory Event2

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

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708Los Angeles, CA 90067

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