Benjamin M. Simon
Professional summary
Benjamin Macmillan Simon, who also goes by Ben Simon, is a registered financial professional currently at CHARDAN CAPITAL MARKETS LLC located in New York, New York.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2022. Benjamin has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Macmillan Simon's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 2022 - Present
CHARDAN CAPITAL MARKETS LLC
Office #1: 1 Pennsylvania Plaza Suite 4800, New York, NY 10119State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/27/2022)
Exams
Series 7TO
Date: 2/28/2025
General Securities Representative ExaminationSeries 79TO
Date: 12/28/2021
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CHARDAN CAPITAL MARKETS LLC
CRD#: 120128 / SEC#: , 8-65277
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | |
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 |
| URBACH, STEVEN AARON | CEO | 4137317 |
Disclosures
| Regulatory Event | 14 |
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