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BD

Benjamin Dennis

LADENBURG THALMANN ASSET MANAGEMENT
Brooklyn, NY
Some features on this profile are disabled
CRD#: 5685787
BD

Professional summary

Benjamin Dennis, who also goes by Ben Dennis, is a registered financial advisor currently at LADENBURG THALMANN ASSET MANAGEMENT INC located in Brooklyn, New York and LADENBURG THALMANN & CO. INC. located in New York, New York.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Benjamin has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ben Dennis

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) - RIA

Click below to view Benjamin Dennis's CRS (Customer Relationship Summary).
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

September 28, 2023 - Present

LADENBURG THALMANN ASSET MANAGEMENT INC

Office #2: 640 5th Avenue 4th Floor, New York, NY 10019
RIA
CRD#: 108604
Brooklyn, NY
Current

July 3, 2024 - Present

LADENBURG THALMANN & CO. INC.

Office #1: 640 5th Avenue 4th Floor, New York, NY 10019
BD
CRD#: 505
New York, 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".
LT
LADENBURG THALMANN ASSET MANAGEMENT INC
GORDON WEALTH | THE CUNDY GROUP | THE BRESLIN GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC

CRD#: 108604 / SEC#: 801-54909

RIA
Registered Investment Advisory firm - (10/16/1997 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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

IAR
New York
(9/28/2023)
RR
New York
(3/31/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/28/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/3/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/6/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LT
LADENBURG THALMANN ASSET MANAGEMENT INC
GORDON WEALTH | THE CUNDY GROUP | THE BRESLIN GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC

CRD#: 108604 / SEC#: 801-54909

RIA
Registered Investment Advisory firm - (10/16/1997 Approved)
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Contact information

Main Address
640 Fifth Avenue 4th Fl., New York, NY 10019
Mailing Address
Phone number
(800) 995-5267
Established
Firm type
Fiscal year end
# of Employees
33

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LADENBURG THALMANN ASSET MANAGEMENT INC - LADENBURG ASSET MANAGEMENT PROGRAM - MANAGED ANNUITIES (9/15/2025)
PLAN SPONSOR & PLAN PARTICIPANT SERVICES BROCHURE (9/15/2025)
LADENBURG THALMANN ASSET MANAGEMENT INC - PRIVATE INVESTMENT MANAGEMENT (PIM) WRAP FEE BROCHURE (9/15/2025)
$YMBIL PROGRAM BROCHURE (9/15/2025)
LADENBURG THALMANN ASSET MANAGEMENT INC - FORM ADV PART 2A - FIRM BROCHURE (9/15/2025)
LADENBURG THALMANN ASSET MANAGEMENT INC - ARCHITECT WRAP FEE BROCHURE (9/15/2025)
LADENBURG THALMANN ASSET MANAGEMENT INC - INVESTMENT CONSULTANT SERVICES (ICS) WRAP FEE BROCHURE (9/15/2025)
LADENBURG THALMANN ASSET MANAGEMENT INC - LADENBURG ASSET MANAGEMENT PROGRAM (LAMP) WRAP FEE BROCHURE (9/15/2025)

Regulatory assets under management

Total Number of Accounts3,334
AUM (Assets Under Management)$ 5,611,078,759

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

LADENBURG THALMANN ASSET MANAGEMENT INC

CRD#: 108604Brooklyn, NY

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