Benjamin T. Abrams
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 Thomas Abrams, who also goes by Benny Abrams, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2020. Benjamin had worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2020 - October 26, 2023
KATALYST SECURITIES LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 8/27/2020
General Securities Representative ExaminationCurrent Firm
KATALYST SECURITIES LLC
CRD#: 112494 / SEC#: , 8-53260
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES OPERATIONS SPECIALISTS INC. | SHAREHOLDER | |
| KEMPISTY, PHILIP CHARLES | CHIEF COMPLIANCE OFFICER | 1279668 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
