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Benjamin S. Winters

Some features on this profile are disabled
CRD#: 5626315
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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Benjamin Samuel Winters, who also goes by Benjamin Winters, Benkamin Winters, was a registered financial professional .

Benjamin is a previously registered financial professional and started their career in finance in 2009. Benjamin had worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Benjamin Winters | Benkamin Winters

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

September 13, 2014 - June 3, 2016

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

April 15, 2010 - March 11, 2013

POTEN CAPITAL SERVICES, LLC

BD
CRD#: 141367
NEW YORK, NY
Past

February 5, 2009 - March 16, 2009

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/3/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/25/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/4/2009
General Securities Representative Examination

Current Firm

BF
BGC FINANCIAL, L.P.
AUREL, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE BROKERS, A DIVISION OF BGC FINANCIAL LP | PRECISION, A DIVISION OF BGC FINANCIAL, L.P. | POTEN CAPITAL, A DIVISION OF BGC FINANCIAL, L.P. | MINT PARTNERS, A DIVISION OF BGC FINANCIAL, L.P. | MAXCOR FINANCIAL INC. | MAXCOR (DIVISION OF EURO BROKERS INC.) | MAXCOR | FENICS, A DIVISION OF BGC FINANCIAL, L.P. | FENICS UST, A DIVISION OF BGC FINANCIAL, L.P. | FENICS US TREASURIES, A DIVISION OF BGC FINANCIAL, L.P. | FENICS GO US, A DIVISION OF BGC FINANCIAL, L.P | EUROBROKERS, A DIVISION OF BGC FINANCIAL, L.P. | EURO BROKERS, A DIVISION OF MAXCOR FINANCIAL INC. | EURO BROKERS MAXCOR INC. | BGC RV | BGC RELATIVE VALUE, A DIVISION OF BGC FINANCIAL, L.P. | BGC LIQUIDEZ, A DIVISION OF BGC FINANCIAL, L.P. | BGC LAKE, A DIVISION OF BGC FINANCIAL, L.P. | BGC FINANCIAL, L.P. | BGC FINANCIAL INC.

CRD#: 19801 / SEC#: , 8-39012

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

Main Address
55 Water Street 10th Floor, New York, NY, 10004
Mailing Address
55 Water Street 10th Floor, New York, NY, 10041
Phone number
(646) 346-7000
Established
Delaware since 04/02/2008
Firm type
Partnership
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BGC BROKERS US L.P.LIMITED PARTNER
ABULARRAGE, JOHN JOSEPHCHIEF EXECUTIVE OFFICER3265633
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
AUBIN, JEAN PIERREEXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES5596046
BGCF HOLDINGS LLCGENERAL PARTNER
HAUF, JASON WILLIAMSCHIEF FINANCIAL OFFICER4163331
LEWIS, THOMAS JOSEPHMANAGING DIRECTOR FIXED INCOME AND COMMODITIES2684821
LYNCH, MARTINCHIEF OPERATING OFFICER5612726
SULFARO, MICHAEL CARLCHIEF COMPLIANCE OFFICER2483562

Disclosures

Regulatory Event36

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

BGC FINANCIAL, L.P.

CRD#: 19801

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