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BENJAMIN SECURITIES, INC.
CRD 7754File 801-30987
APPROVED
Retail clients
Disclosure events
Filing as of Sep 29, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$39.5M
Bottom 25% of cohort (national)
Discretionary AUM
$32.5M
Non-discretionary $7.0M
Clients
65
65 accounts
Employees
6
Bottom 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Dec 24, 1987
- Principal office
- 421 NEW KARNER ROAD, SUITE 6, ALBANY, NY, 12205
- Phone
- 516-931-1090
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $39.5M
- Discretionary AUM
- $32.5M
- Non-discretionary AUM
- $7.0M
- Discretionary accounts
- 62
- Non-discretionary accounts
- 3
- Total accounts
- 65
- AUM per client
- $607K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 16 | $30.2M |
| Individuals (other than high net worth individuals) | 49 | $9.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11D2
- Q11E2
- Q11E4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Dec 1, 2025 vs May 1, 2025 | Clients | 66 | 68 | increased by2 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $33,945,441 | $33,609,905 | decreased by$335,536 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 100 | 68 | decreased by32 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 10 | 12 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 75 | 66 | decreased by9 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $32,426,067 | $33,945,441 | increased by$1,519,374 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 111 | 100 | decreased by11 |
| Oct 1, 2022 | Employees | 9 | 10 | increased by1 |
| Oct 1, 2022 | Clients | 71 | 75 | increased by4 |
| Oct 1, 2022 | AUM | $43,179,747 | $32,426,067 | decreased by$10,753,680 |
| Oct 1, 2022 | Accounts | 78 | 111 | increased by33 |
| Oct 1, 2021 | Employees | 8 | 9 | increased by1 |
| Oct 1, 2021 | Clients | 70 | 71 | increased by1 |
| Oct 1, 2021 | AUM | $34,216,984 | $43,179,747 | increased by$8,962,763 |
| Oct 1, 2021 | Accounts | 111 | 78 | decreased by33 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “BENJAMIN SECURITIES” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BENJAMIN SECURITIES” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.