BS
Benjamin S. Sax
CORIENT
New York City, NY 10178
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CRD#: 867486
BS
Professional summary
Benjamin Stephen Sax, who also goes by Ben Sax, is a registered financial advisor currently at CORIENT located in New York City, New York.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Benjamin has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Sax
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.
I*18740 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ANTI-DEFAMATION LEAGUE (ADL) INVESTMENT RELATED: N ADDRESS OF BUSINESS: 605 THIRD AVENUE, NEW YORK, NEW YORK 10158 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 9/4/1997 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DIRECTOR/BOARD MEMBER SUBCOMMITTEE MEMBER CIVIL RIGHTS ORGANIZATION Mr. Sax is non-managing member of several private limited liability companies, organized within the State of California, focused on private investments. These companies include Matar, LLC, Matar II, LLC, Matar IV, LLC, and Notsorare, LLC. The first of these companies was organized in December, 2010. Mr. Sax devotes 0 hours per month, including during securities trading hours, towards his role in these companies.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Stephen Sax's 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®
NoneExperience
Current
December 12, 2022 - Present
CORIENT
Office #1: 101 Park Ave, New York City, NY 10178RIA
CRD#: 319448
New York City, NY
Past
September 7, 2018 - March 31, 2023
KORE PRIVATE WEALTH, LLC
RIA
CRD#: 294547
NEW YORK, NY
Past
January 9, 2009 - June 7, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
January 9, 2009 - June 7, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 3, 2003 - January 26, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
July 3, 2003 - January 26, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
January 12, 2001 - July 7, 2003
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
March 29, 1995 - January 26, 2001
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
November 10, 1992 - April 20, 1995
SALOMON BROTHERS MUNICIPALS INC
BD
CRD#: 28940
Past
October 22, 1990 - April 20, 1995
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
November 1, 1984 - September 26, 1990
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
August 17, 1981 - October 18, 1984
KUHNS BROTHERS & LAIDLAW, INC.
BD
CRD#: 1481
Past
June 21, 1979 - September 19, 1981
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CO
CORIENT
BALASA DINVERNO & FOLTZ | WINDSOR WEALTH MANGMENT | RGT WEALTH ADVISORS | REGENTATLANTIC | R.H. BLUESTEIN & CO | PORTOLA PARTNERS GROUP | PORTOLA PARTNERS | NTERCONTINENTAL WEALTH ADVISORS | MCCUTCHEN WEALTH MANAGEMENT | MCCUTCHEN GROUP | MATRIX CAPITAL ADVISORS | GOFEN AND GLOSSBERG | GALAPAGOS WEALTH MANAGEMENT | DOYLE WEALTH MANAGEMENT | DOWLING & YAHNKE WEALTH ADVISORS | CORIENT PRIVATE WEALTH LLC | CORIENT CAPITAL PARTNERS | CORIENT | CI SUREVEST PRIVATE WEALTH | CI STAVIS & COHEN PRIVATE WEALTH | CI SEGALL BRYANT & HAMILL PRIVATE WEALTH | CI ROOSEVELT PRIVATE WEALTH | CI RGT PRIVATE WEALTH | CI REGENTATLANTIC PRIVATE WEALTH | CI RADNOR PRIVATE WEALTH | CI PRIVATE WEALTH, LLC | CI PRIVATE WEALTH | CI PORTOLA PRIVATE WEALTH | CI MCCUTCHEN PRIVATE WEALTH | CI MATRIX PRIVATE WEALTH | CI KORE PRIVATE WEALTH | CI INVERNESS PRIVATE WEALTH | CI GOFEN & GLOSSBERG PRIVATE WEALTH | CI GALAPAGOS PRIVATE WEALTH | CI EATON PRIVATE WEALTH | CI DOYLE PRIVATE WEALTH | CI DOWLING & YAHNKE PRIVATE WEALTH | CI CORIENT PRIVATE WEALTH | CI COLUMBIA PACIFIC PRIVATE WEALTH | CI BUDROS RUHLIN ROE PRIVATE WEALTH | CI BRIGHTWORTH PRIVATE WEALTH | CI BOWLING PRIVATE WEALTH | CI BLUESTEIN PRIVATE WEALTH | CI BDF PRIVATE WEALTH | CI BDF | CI BARRETT PRIVATE WEALTH | CI AVALON PRIVATE WEALTH | BUDROS, RUHLIN & ROE | BRR | BOWLING PORTFOLIO MANGEMENT
CRD#: 319448 / SEC#: 801-124978
RIA
Registered Investment Advisory firm - (5/12/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(12/12/2022)
IAR
Texas(12/12/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CO
CORIENT
BALASA DINVERNO & FOLTZ | WINDSOR WEALTH MANGMENT | RGT WEALTH ADVISORS | REGENTATLANTIC | R.H. BLUESTEIN & CO | PORTOLA PARTNERS GROUP | PORTOLA PARTNERS | NTERCONTINENTAL WEALTH ADVISORS | MCCUTCHEN WEALTH MANAGEMENT | MCCUTCHEN GROUP | MATRIX CAPITAL ADVISORS | GOFEN AND GLOSSBERG | GALAPAGOS WEALTH MANAGEMENT | DOYLE WEALTH MANAGEMENT | DOWLING & YAHNKE WEALTH ADVISORS | CORIENT PRIVATE WEALTH LLC | CORIENT CAPITAL PARTNERS | CORIENT | CI SUREVEST PRIVATE WEALTH | CI STAVIS & COHEN PRIVATE WEALTH | CI SEGALL BRYANT & HAMILL PRIVATE WEALTH | CI ROOSEVELT PRIVATE WEALTH | CI RGT PRIVATE WEALTH | CI REGENTATLANTIC PRIVATE WEALTH | CI RADNOR PRIVATE WEALTH | CI PRIVATE WEALTH, LLC | CI PRIVATE WEALTH | CI PORTOLA PRIVATE WEALTH | CI MCCUTCHEN PRIVATE WEALTH | CI MATRIX PRIVATE WEALTH | CI KORE PRIVATE WEALTH | CI INVERNESS PRIVATE WEALTH | CI GOFEN & GLOSSBERG PRIVATE WEALTH | CI GALAPAGOS PRIVATE WEALTH | CI EATON PRIVATE WEALTH | CI DOYLE PRIVATE WEALTH | CI DOWLING & YAHNKE PRIVATE WEALTH | CI CORIENT PRIVATE WEALTH | CI COLUMBIA PACIFIC PRIVATE WEALTH | CI BUDROS RUHLIN ROE PRIVATE WEALTH | CI BRIGHTWORTH PRIVATE WEALTH | CI BOWLING PRIVATE WEALTH | CI BLUESTEIN PRIVATE WEALTH | CI BDF PRIVATE WEALTH | CI BDF | CI BARRETT PRIVATE WEALTH | CI AVALON PRIVATE WEALTH | BUDROS, RUHLIN & ROE | BRR | BOWLING PORTFOLIO MANGEMENT
CRD#: 319448 / SEC#: 801-124978
RIA
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Contact information
Main Address
830 Brickell Plaza Suite 4800, Miami, FL 33131
Mailing Address
830 Brickell Plaza Suite 4800, Miami, FL 33131
Phone number
(305) 735-2020
Established
Firm type
Fiscal year end
# of Employees
1,181
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 109,685 |
| AUM (Assets Under Management) | $ 143,628,532,902 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/28/2024 | ||
| 10/27/2023 | ||
| 05/03/2023 |
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.
