Benjamin I. Reardon
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 Isaac Reardon was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2015. Benjamin had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2015 - August 8, 2016
DBS VICKERS SECURITIES (USA) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DBS VICKERS SECURITIES (USA) INC.
CRD#: 35691 / SEC#: , 8-46837
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBS VICKERS SECURITIES HOLDINGS PTE LTD (FORMERLY VICKERS BALLAS HOLDINGS LIMITED) | NEW PARENT COMPANY - A/O 9/12/2001 100% OWNER, A/0 10/01/01 CONSOLIDATED REPORTING | |
| MARRONE, MICHAEL THOMAS | FINOP/PFO/POO | 4859949 |
| TANG, YEW CHOONG | DIRECTOR ON BOARD OF DIRECTORS DBSV USA (& CEO OF DBSV SINGAPORE PTE LTD) | 7462745 |
| YU, ELAINE YEELING | CEO / CCO / DIRECTOR ON BOARD OF DIRECTORS OF DBSV USA | 2246528 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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