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Neil P. Benedict

SONENSHINE & COMPANY LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 806805
NB

Professional summary

Neil Paton Benedict is a registered financial professional currently at SONENSHINE & COMPANY LLC located in New York, New York.

Neil is registered as a RR (Registered Representative) and started their career in finance in 1975. Neil has worked at 11 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 1 and Series 40 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) - BD

Click below to view Neil Paton Benedict's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 20, 2016 - Present

SONENSHINE & COMPANY LLC

Office #1: 505 Park Ave 3rd Floor, New York, NY, 10022Office #2: 505 Park Avenue Third Floor, New York, NY 10022
BD
CRD#: 104357
New York, NY
Past

October 5, 2009 - December 13, 2016

INTELLIGENT EDGE SECURITIES, LLC

BD
CRD#: 129821
NEW YORK, NY
Past

May 20, 2008 - September 18, 2009

WATERMARK ADVISORS, LLC

BD
CRD#: 127819
NEW YORK, NY
Past

November 21, 2002 - June 4, 2008

SAGE PARTNERS SECURITIES, LLC

BD
CRD#: 104381
NEW YORK, NY
Past

December 15, 1999 - March 14, 2000

ARUNDEL (SECURITIES), INC.

BD
CRD#: 43573
WESTLAKE, TX
Past

April 28, 1999 - July 29, 1999

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
Past

July 1, 1998 - July 29, 1999

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

November 5, 1997 - July 1, 1998

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY
Past

December 23, 1996 - November 6, 1997

ING (U.S.) CAPITAL SECURITIES, INC.

BD
CRD#: 41367
NEW YORK, NY
Past

March 20, 1989 - January 15, 1996

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

April 7, 1977 - February 15, 1989

SALOMON BROTHERS INC.

BD
CRD#: 740
Past

April 4, 1975 - September 6, 1976

DILLON, READ OVERSEAS CORPORATION

BD
CRD#: 4212

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(12/20/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 12/29/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 3/31/1975
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 11/30/1978
Registered Principal Examination
SRO Registrations
RR
FINRA

Current Firm

S&
SONENSHINE & COMPANY LLC
SONENSHINE & COMPANY LLC | SONENSHINE PASTOR & CO. LLC

CRD#: 104357 / SEC#: , 8-52819

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

Main Address
505 Park Avenue Third Floor, New York, NY 10022
Mailing Address
505 Park Avenue Third Floor, New York, NY 10022
Phone number
(212) 994-3330
Established
Delaware since 11/08/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SONENSHINE PARTNERS LLCSOLE MEMBER
SONENSHINE, HARVEY MARSHALLMANAGER, CEO, CCO1581222
STOUBER, RANDY MARCFINOP1104531

Disclosures

Regulatory Event2

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

SONENSHINE & COMPANY LLC

CRD#: 104357New York, NY 10022

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