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Benjamin Roy

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CRD#: 7192207
BR

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 Roy was a registered financial professional .

Benjamin is a previously registered financial professional and started their career in finance in 2019. Benjamin had worked at 1 firm and has passed the Series 99TO, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 16, 2019 - July 14, 2022

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/16/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/14/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/4/2020
General Securities Principal Examination

Current Firm

SA
SG AMERICAS SECURITIES, LLC
SG AMERICAS SECURITIES, LLC

CRD#: 128351 / SEC#: , 8-66125

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

Main Address
245 Park Avenue, New York, NY 10167
Mailing Address
245 Park Avenue, New York, NY 10167
Phone number
(212) 278-6000
Established
Delaware since 08/08/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SG AMERICAS SECURITIES HOLDINGS, LLCDIRECT OWNER
CARTIER, SYLVAINCO - CHIEF EXECUTIVE OFFICER6390499
GERLESITS, WILLIAM RCHIEF COMPLIANCE OFFICER5457051
O'KEEFE, THOMAS WILLIAMPRINCIPAL FINANCIAL OFFICER3054453
VAN HAUWERMEIREN, GUIDO MARIACO - CHIEF EXECUTIVE OFFICER5974025
WALSH, MICHAEL PATRICKPRINCIPAL OPERATIONS OFFICER1060871
ZIELINSKI, GREGORY WCHIEF OPERATING OFFICER2384242

Disclosures

Regulatory Event114
Criminal1
Arbitration1

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

SG AMERICAS SECURITIES, LLC

CRD#: 128351

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