Barry B. Benjamin
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.
Barry Bret Benjamin was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1981. Barry had worked at 7 firms and has passed the Series 65, Series 63, Series 5 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
November 18, 1999 - June 14, 2013
BANKERS INTERNATIONAL SECURITIES, INC.
February 15, 1998 - October 25, 1999
PREFERRED WESTERN INTERNATIONAL SECURITIES, INC.
October 5, 1994 - February 26, 1996
UBS FINANCIAL SERVICES INC.
July 31, 1993 - October 5, 1994
CITIGROUP GLOBAL MARKETS INC.
February 17, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
August 16, 1988 - March 7, 1989
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1988 - August 29, 1988
LEHMAN BROTHERS INC.
May 18, 1981 - May 14, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/2/1981
Interest Rate Options ExaminationCurrent Firm
BANKERS INTERNATIONAL SECURITIES, INC.
CRD#: 10224 / SEC#: , 8-26545
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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