BS
Ben V. Sutak
THINKEQUITY LLC
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 5580389
BS
Professional summary
Ben Venokur Sutak, who also goes by Ben Venokuh Sutak, is a registered financial professional currently at THINKEQUITY LLC located in New York, New York.
Ben is registered as a RR (Registered Representative) and started their career in finance in 2008. Ben has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ben Venokuh Sutak
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.
CRS (Client Relationship Summary) - BD
Click below to view Ben Venokur Sutak'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®
NoneExperience
Current
February 28, 2017 - Present
THINKEQUITY LLC
Office #1: 17 State Street, 41st Floor, New York, NY 10004Office #2: 17 State Street 41st Floor, New York, NY, 10004BD
CRD#: 20996
NEW YORK, NY
Past
February 5, 2015 - March 16, 2017
WESTPARK CAPITAL, INC.
BD
CRD#: 39914
NEW YORK, NY
Past
May 1, 2014 - February 17, 2015
THINKEQUITY LLC
BD
CRD#: 20996
NEW YORK, NY
Past
January 23, 2012 - June 1, 2014
JOHN CARRIS INVESTMENTS LLC
BD
CRD#: 145767
HOBOKEN, NJ
Past
October 5, 2010 - January 26, 2012
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
June 8, 2009 - October 5, 2010
WESTROCK ADVISORS, INC.
BD
CRD#: 114338
NEW YORK, NY
Past
January 7, 2009 - May 27, 2009
LAMPERT CAPITAL MARKETS INC.
BD
CRD#: 103725
NEW YORK, NY
Past
August 29, 2008 - December 24, 2008
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
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
Arizona(2/28/2017)
RR
California(2/28/2017)
RR
Colorado(2/28/2017)
RR
Connecticut(1/21/2022)
RR
Florida(2/28/2017)
RR
Georgia(2/28/2017)
RR
Illinois(2/28/2017)
RR
Indiana(2/28/2017)
RR
Iowa(2/28/2017)
RR
Kansas(1/2/2020)
RR
Kentucky(2/7/2020)
RR
Louisiana(2/7/2020)
RR
Maryland(2/28/2017)
RR
Massachusetts(1/21/2022)
RR
Michigan(2/28/2017)
RR
Minnesota(3/27/2017)
RR
Missouri(2/28/2017)
RR
Nebraska(2/7/2020)
RR
New Jersey(2/28/2017)
RR
New York(2/28/2017)
RR
North Carolina(2/28/2017)
RR
Ohio(2/28/2017)
RR
Oregon(3/17/2017)
RR
Pennsylvania(2/28/2017)
RR
Texas(2/28/2017)
RR
Virginia(2/28/2017)
RR
Washington(2/28/2017)
RR
Wisconsin(1/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TL
THINKEQUITY LLC
FORDHAM FINANCIAL MANAGEMENT, INC. | THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
17 State Street 41st Floor, New York, NY, 10004
Mailing Address
17 State Street 41st Floor, New York, NY, 10004
Phone number
(212) 732-8500
Established
Delaware since 08/13/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| NASH, KELLY | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 3017718 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
