Adam P. Gromling

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CRD#: 5181931

Professional summary

Adam Paul Gromling was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Adam is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Adam had worked at 5 firms, which includes BENJAMIN SECURITIES INC., EKN FINANCIAL SERVICES INC., JOHN THOMAS FINANCIAL, TRIDENT PARTNERS LTD., AMERICAN CAPITAL PARTNERS LLC.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 26, 2012 - May 1, 2012

BENJAMIN SECURITIES, INC.

CRD#: 7754

PENSACOLA, FL

Past

September 28, 2011 - December 23, 2011

EKN FINANCIAL SERVICES INC.

CRD#: 113525

MELVILLE, NY

Past

February 23, 2009 - August 2, 2011

JOHN THOMAS FINANCIAL

CRD#: 40982

HAUPPAUGE, NY

Past

November 17, 2008 - February 23, 2009

TRIDENT PARTNERS LTD.

CRD#: 41258

WOODBURY, NY

Past

May 2, 2007 - December 5, 2008

AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249

HUNTINGTON, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BENJAMIN SECURITIES, INC.

BENJAMIN & FORGIONE CO., INC. | BENJAMIN SECURITIES, INC.

CRD#: 7754 / SEC#: 801-30987, 8-23518

RIA

Registered Investment Advisory firm - SEC (12/24/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/22/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/1/2007

General Securities Representative Examination

Current Firm

BENJAMIN SECURITIES, INC.

BENJAMIN & FORGIONE CO., INC. | BENJAMIN SECURITIES, INC.

CRD#: 7754 / SEC#: 801-30987, 8-23518

RIA

Registered Investment Advisory firm - SEC (12/24/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

3 West Garden Street Suite 6, Albany, NY 12205

Mailing Address

3 West Garden Street Suite 407, Pensacola, FL 32502

Phone number

(516) 931-1090

Established

New York since 08/10/1977

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (4 States and Territories)

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A FIRM BROCHURE (9/29/2025)

Direct owners and executive officers

Name	Position	CRD#
BAKER GLOBAL ASSET MANAGEMENT, INC.	OWNER
BAKER, WILLIAM THOMAS	PRESIDENT,MSRB, CCO,AML COMPLIANCE OFFICER OF BENJAMIN SEC. & PRESIDENT,CEO,SHAREHOLDER OF BAKER GLOBAL ASSET	1804430
LAUNDRIE, THOMAS WILLIAM	VICE PRESIDENT/ ROSFP	1207021
STAMOVA, ILINA S	FINANCIAL OPERATIONS PRINCIPAL	5500851

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 33,609,905

Disclosures

Regulatory Event

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.

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Adam P. Gromling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EKN FINANCIAL SERVICES INC.

JOHN THOMAS FINANCIAL

TRIDENT PARTNERS LTD.

AMERICAN CAPITAL PARTNERS, LLC

Primary Firm SEC Registration

BENJAMIN SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/22/2007

Series 7

Date: 5/1/2007

Current Firm

BENJAMIN SECURITIES, INC.

Contact information

SEC notice filing (4 States and Territories)

FINRA licenses (33 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BENJAMIN SECURITIES, INC.

TRUST BUT VERIFY

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