Benjamin Forester Stein
Professional Summary
Benjamin Forester Stein was a registered financial advisor. Benjamin was a previously registered financial professional and started their career in finance 2009 - 2014. Benjamin had worked at 1 firm and has passed the Series 7 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
17 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
ROBOTTI & COMPANY, INCORPORATED | ROBOTTI SECURITIES, LLC | ROBOTTI & ENG, INCORPORATED | ROBOTTI & ENG, INC. | ROBOTTI & COMPANY, LLC
Contact Information
Main Address
125 Park Avenue, Suite 1607, New York, NY 10017Mailing Address
125 Park Avenue, Suite 1607, New York, NY 10017Phone Number
(212) 986-4800Established
New York since 03/07/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (31 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBOTTI & COMPANY, INCORPORATED | STOCKHOLDER 100% OWNER OF APPLICANT | — |
| KELLEHER, DENNIS MICHAEL | CHIEF COMPLIANCE OFFICER | 2107342 |
| MCQUEENEY, DAVID VINCENT | SROP, ROP | 2440806 |
| MEVORAH, ERWIN I | CFO, FIN/OP & SECRETARY | 1944735 |
| ROBOTTI, ROBERT EDWARD | PRESIDENT, CEO, GSP, TREASURER | 732905 |
| ROBOTTI, SUZANNE BENSON | DIRECTOR | 4616454 |
| SEKLIR, NANCY ELIZABETH | DIRECTOR | 1756843 |
| WASIAK, KENNETH RONALD | DIRECTOR | 1485703 |
Disclosures
Regulatory Event
2Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
